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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Risk Management	- Risk management in a securities broking firm 1. Identifying and mitigating risks 2. Compliance and control measures
Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Role of the back office in a securities broking firm 2. Clearing and settlement process
Indian Securities Market	- Overview of the Indian securities market 1. Various market participants and their roles 2. Different products traded
Investor Grievance Redressal	- Process of investor grievances redressal 1. Regulatory requirements 2. Procedures for handling complaints
Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Regulatory oversight 2. Investor protection
Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Trade execution 2. Risk management 3. Settlement processing

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q317-Q322):

NEW QUESTION # 317
Regarding the 'Default Waterfall' in the context of the Net Settlement mechanism for Cash and F&O segments, which of the following statements is correct?

A. Clearing Corporations create a unified single default waterfall covering both segments to match the merged settlement.
B. Default losses are covered solely by the Investor Protection Fund (IPF) in the case of net settlement defaults.
C. The Core Settlement Guarantee Fund (SGF) of the F&O segment is utilized first for any default arising from the net settlement obligation.
D. The default waterfall is triggered only after liquidating the defaulting member's proprietary assets across all exchanges.
E. Clearing Corporations continue to maintain segment-wise default waterfalls, and losses are computed on the basis of segment-wise obligations on a pro-rata basis.

Answer: E

Explanation:
Clearing Corporations (CCs) shall continue to settle obligations on a net basis at the CM level. Further, CCs shall continue to maintain segment-wise default waterfalls, regardless of a single settlement across segments. The losses, if any, in case of default of a CM to CC shall be computed on the basis of the segment-wise obligation of CM to CC, on a pro-rata basis.

NEW QUESTION # 318
Which of the following operational parameters and exclusions are correctly associated with the framework for the beta version of the T+0 rolling settlement cycle? (Select all that apply)

A. Pre-Open, Special Pre-Open, and Post close sessions are not applicable.
B. The price band is fixed at +1-5% relative to the T+1 market price without re-calibration.
C. Pay-in for sell obligations is allowed only via Early Pay-In using the block mechanism.
D. Trading is not permitted on the Ex-date of securities.
E. Security shortages are handled through a dedicated auction session on T+0 day.

Answer: A,C,D

Explanation:
Option A is correct: No trading for T+0 settlement on Ex-date of securities. Option C is correct: Pre-Open, Special Pre-Open, and Post close sessions are not applicable. Option D is correct: Pay-in is allowed only by way of early pay-in using block mechanism. Option B is incorrect as auctions are not conducted (direct close-out applies). Option E is incorrect as the price band is +1- 100 bps with re-calibration.

NEW QUESTION # 319
To bring transparency to the Investor Grievance Redressal Mechanism, stock brokers are mandated to disclose data on complaints received and redressed on their respective websites. What is the specific deadline for this disclosure?

A. By the 10th of the succeeding month
B. Within 21 days of the end of the quarter
C. By the 15th of the succeeding month
D. By the last day of the succeeding month
E. By the 7th of the succeeding month

Answer: E

Explanation:
All Stock Brokers shall disclose on their respective websites, the data on complaints received against them or against issues dealt by them and redressal thereof, latest by the seventh of the succeeding month, as per the SEBI provided format.

NEW QUESTION # 320
Transfer of securities from one account to another within the depository system may be done for which of the following purposes?
(Select all that apply)

A. Transfer arising out of account closure.
B. Transfer arising out of transmission of securities.
C. Transfer due to an 'off-market' transaction (person-to-person).
D. Transfer arising out of a transaction done on a recognized Stock Exchange.
E. Transfer for the purpose of evading Stamp Duty.

Answer: A,B,C,D

Explanation:
Transfer of securities from one account to another may be done for any of the following purposes: a. Transfer due to a transaction done on a person-to-person basis i.e. 'off-market' transaction. b. Transfer arising out of a transaction done on a recognised Stock Exchange. c. Transfer arising out of transmission of securities and account closure.

NEW QUESTION # 321
Which of the following instruments is specifically defined as a rupee-denominated bond issued outside India by Indian entities to raise money in local currency from foreign investors?

A. Foreign Currency Convertible Bonds (FCCBs)
B. Global Depository Receipts (GDRs)
C. Masala Bonds
D. Indian Depository Receipts (IDRs)
E. American Depository Receipts (ADRs)

Answer: C

Explanation:
Masala Bonds are rupee-denominated bonds issued outside India by Indian entities. They are debt instruments which help to raise money in local currency from foreign investors,. FCCBs are issued in foreign currency. IDRs are for foreign companies raising funds in India. GDRs and ADRs are equity-based instruments issued by foreign depository banks,.

NEW QUESTION # 322
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