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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q277-Q282):

NEW QUESTION # 277
Which of the following statements accurately describe the principles and methodology for Corporate Actions Adjustment in the Equity F&O segment? (Select all that apply)

A. The basis for adjustment is that the value of the position on the cum-date and ex-date shall continue to remain the same as far as possible.
B. The adjustments for corporate actions would be carried out on all open positions.
C. For Bonus issues, the new strike price is arrived at by multiplying the old strike price by the adjustment factor.
D. Adjustments may entail modifications to Strike Price, Position, and Market Lot I Multiplier.
E. Adjustments for corporate actions are carried out only on positions that are In-The-Money (ITM); OTM positions are left unadjusted.

Answer: A,B,D

Explanation:
Statement A is correct regarding the basic premise of value continuity. Statement C is correct regarding the variables adjusted. Statement E is correct that it applies to open positions. Statement B is incorrect because adjustments apply to all positions, not just ITM. Statement D is incorrect because for Bonus issues, the new strike price is arrived at by *dividing* (not multiplying) the old strike price by the adjustment factor.

NEW QUESTION # 278
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 continue to maintain segment-wise default waterfalls, and losses are computed on the basis of segment-wise obligations on a pro-rata basis.
B. Clearing Corporations create a unified single default waterfall covering both segments to match the merged settlement.
C. The default waterfall is triggered only after liquidating the defaulting member's proprietary assets across all exchanges.
D. The Core Settlement Guarantee Fund (SGF) of the F&O segment is utilized first for any default arising from the net settlement obligation.
E. Default losses are covered solely by the Investor Protection Fund (IPF) in the case of net settlement defaults.

Answer: A

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 # 279
SEBI designates certain stock brokers as 'Qualified Stock Brokers' (QSBs) based on specific parameters to ensure appropriate governance and risk management. Which of the following parameters are explicitly considered for designating a stock broker as a QSB?
(Select all that apply)

A. The net worth of the stock broker's promoter group.
B. The number of sub-broker offices managed by the stock broker.
C. The total number of active clients of the stock broker.
D. The available total assets of clients with the stock broker.
E. The proprietary trading volumes of the stock broker.

Answer: C,D,E

Explanation:
The parameters considered for designating a stock broker as a QSB include: (a) the total number of active clients; (b) the available total assets of clients; (c) trading volumes (excluding proprietary); (d) end of day margin obligations; (e) proprietary trading volumes; (f) compliance score; and (g) grievance redressal score. Promoter net worth and number of sub-broker offices are not listed parameters.

NEW QUESTION # 280
According to the Securities Contracts (Regulation) Act, 1956 (SCRA), the definition of 'Securities' has been expanded to include various instruments. Which of the following specific instruments is explicitly included in this definition as per the Act?

A. Fixed Deposit Receipts issued by Scheduled Commercial Banks
B. Insurance Policies linked to Unit Linked Insurance Plans (ULIPs)
C. Promissory Notes issued by private individuals for personal loans
D. Electronic Gold Receipts issued on the basis of deposit of underlying physical gold
E. Real Estate Sale Deeds registered under the Registration Act

Answer: D

Explanation:
As per the definition of 'Securities' in the Securities Contract Regulation Act (SCRA), 1956, the term includes 'Electronic Gold Receipt', which means an electronic receipt issued on the basis of deposit of underlying physical gold in accordance with regulations made by SEBI. It also includes Zero Coupon Zero Principal Instruments, among others like shares, bonds, and derivatives.

NEW QUESTION # 281
Which of the following statements accurately describe the rules and procedures for **Dividend Adjustment** in the Equity F&O segment?
(Select all that apply)

A. In case of extra-ordinary dividend, the total dividend amount is reduced from all strike prices of option contracts.
B. The revised strike prices due to extra-ordinary dividend are applicable from the record date.
C. Dividends below 2% of the market value of the underlying stock are deemed ordinary dividends and no adjustment is made.
D. Adjustment for extra-ordinary dividend is carried out only on futures contracts, not options.
E. If shareholders in the AGM change the rate declared by the Board, the market price reference changes to the closing price on the day previous to the AGM.

Answer: A,C,E

Explanation:
StatementA is correct: Dividends below 2% are ordinary and not adjusted. Statement B is correct: Total dividend amount is reduced from strike prices. Statement D is correct: If AGM changes the rate, the reference is the closing price previous to the date of the AGM. Statement C is incorrect because revised prices are applicable from the ex.dividend date. Statement E is incorrect as adjustments apply to strike prices of options as well.

NEW QUESTION # 282
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