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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Securities Market Operations	- Trading process 1. Order execution and trade lifecycle 2. Trade confirmation and reporting - Market participants and structure 1. Order types and trading mechanism basics 2. Roles of brokers, exchanges, and investors
Topic 2: Depository Operations	- Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles - Corporate actions 1. Dividends, bonuses, splits 2. Record dates and entitlement processing
Topic 3: Clearing and Settlement	- Settlement systems 1. Margining and risk adjustments 2. T+1/T+2 settlement cycles - Clearing mechanisms 1. Netting and settlement obligations 2. Clearing corporations and counterparties
Topic 4: Risk Management in Securities Markets	- Risk mitigation systems 1. Surveillance and compliance mechanisms 2. Margins and collateral systems - Market and operational risk 1. Types of financial risks 2. Operational risk controls

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q227-Q232):

NEW QUESTION # 227
The Clearing Corporation (CC) provides the Early Pay-In (EPI) benefit to a client under the block mechanism based on specific matching criteri a. What data points does the CC match to grant this benefit?

A. The CC matches the gross sell obligations of the Trading Member with the total quantity blocked in the depository system.
B. The CC matches the client's available margin in the cash segment with the value of securities blocked.
C. The CC matches the order time stamp with the block creation time stamp to ensure the block was created pre-trade.
D. The CC matches the client level net obligations with the Block details provided by the depositories.
E. The CC matches the trade ID provided by the Exchange with the execution date in the physical Delivery Instruction Slip.

Answer: D

Explanation:
The source states that the Clearing Corporation (CC) will match the client level net obligations with the Block details provided by depositories and will provide EPI benefit to the client if the client level net obligation exists for that client.

NEW QUESTION # 228
Under the framework for Repo in Corporate Debt Securities, which of the following is strictly PROHIBITED from being used as collateral by a participant?

A. Certificates of Deposit (CDs)
B. The participant's own securities or those of related entities
C. Units of Debt Exchange Traded Funds (ETFs)
D. Commercial Papers (CPs)
E. Listed corporate bonds rated 'AA' or above

Answer: B

Explanation:
While listed corporate bonds, CPs, CDs, and Units of Debt ETFs are eligible securities for Corporate Bond Repo, participants cannot borrow against the collateral of their own securities or those of related entities.

NEW QUESTION # 229
Regarding participation in the International Financial Services Centres (IFSC), which of the following categories of resident investors is eligible to deal in securities listed in IFSC?

A. Only resident corporate entities with a net worth exceeding Rs. 100 Crore.
B. Only resident Qualified Institutional Buyers (QIBs).
C. Any resident individual irrespective of investment limit.
D. A person resident in India eligible under FEMA to invest funds offshore, to the extent allowed under the Liberalized Remittance Scheme (LRS).
E. Residents are strictly prohibited from dealing in securities listed in IFSC.

Answer: D

Explanation:
As per SEBI (International Financial Services Centres) Guidelines, 2015, a person resident in India who is eligible under FEMA to invest funds offshore, to the extent allowed under the Liberalized Remittance Scheme (LRS) of the Reserve Bank of India, is permitted to deal in securities listed in IFSC.

NEW QUESTION # 230
Under the 'Block Mechanism' in demat accounts for sale transactions, what is the specific operational protocol regarding the movement and unblocking of shares if the sale transaction is **not** executed on the trade day (T day)?

A. Shares remain blocked until the client explicitly submits a cancellation instruction via the depository participant.
B. Shares are debited from the client's account and held in a suspense account by the Depository until the next trading session.
C. Shares are transferred to the Clearing Corporation's settlement pool and returned only after the auction session on T+1 .
D. Shares continue to remain in the client's demat account and will be unblocked at the end of the T day.
E. Shares are automatically transferred to the Trading Member's pool account and returned to the client on T+1 day.

Answer: D

Explanation:
According to the block mechanism framework, if a sale transaction is not executed, the shares shall continue to remain in the client's demat account and will be unblocked at the end of the T day. This eliminates the movement of shares from the client's demat account for early pay- in and back if the trade is not executed.

NEW QUESTION # 231
Based on the Securities Contract Regulation Act (SCRA), 1956, select all the instruments that are explicitly included in the definition of 'Securities' from the list below.

A. Private Promissory Notes between individuals
B. Government Securities
C. Electronic Gold Receipts
D. Derivatives
E. Zero Coupon Zero Principal Instruments

Answer: B,C,D,E

Explanation:
The definition of 'Securities' in the SCRA 1956 includes:
* Derivatives
* Government Securities
* Electronic Gold Receipts (receipt issued on basis of deposit of underlying physical gold)
* Zero Coupon Zero Principal Instruments
It also includes shares, bonds, debentures, units of MF/CIS, and Security Receipts. Private promissory notes are not listed in this definition.

NEW QUESTION # 232
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