Quiz 2026 NISM-Series-VII: NISM Series VII - Securities Operations and Risk Management Certification Authoritative Demo Test

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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: Risk Management in Securities Markets	- Risk mitigation systems 1. Margins and collateral systems 2. Surveillance and compliance mechanisms - Market and operational risk 1. Operational risk controls 2. Types of financial risks
Topic 3: Clearing and Settlement	- Settlement systems 1. T+1/T+2 settlement cycles 2. Margining and risk adjustments - Clearing mechanisms 1. Netting and settlement obligations 2. Clearing corporations and counterparties
Topic 4: Depository Operations	- Corporate actions 1. Dividends, bonuses, splits 2. Record dates and entitlement processing - Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q237-Q242):

NEW QUESTION # 237
Which of the following statements accurately reflect the nature and regulation of 'Research Reports' provided by stock brokers? (Select all that apply)

A. Research advice and recommendations can be delivered online or via SMS.
B. Brokerage houses must comply with SEBI (Research Analysts) Regulation, 2014.
C. Sector reports focus solely on the financial statements of a single company without considering industry policies.
D. Research reports normally educate investors about industry trends and which company scrips to buy, sell, or hold.
E. Brokers are exempt from SEBI regulations when providing research reports if they are also registered as Merchant Bankers.

Answer: A,B,D

Explanation:
Statement A is correct ('educate investors about the industry trends... which company scrips to buy, sell or hold'). Statement C is correct ('comply with... SEBI (Research Analysts) Regulation, 2014'). Statement E is correct ('can be obtained as SMS... more online now'). Statement B is incorrect (strict rules apply). Statement D is incorrect (Sector reports cover how an industry is faring and policies).

NEW QUESTION # 238
Under the revised framework for redressal of investor grievances through SCORES 2.0, which of the following statements accurately describe the timelines and process flows? (Select all that apply)

A. If the complainant is not satisfied with the ATR, they may request a review within 15 calendar days from the date of the ATR.
B. Entities shall resolve the complaint and upload the Action Taken Report (ATR) on SCORES within 21 calendar days of receipt of the complaint.
C. The Designated Body must submit the revised ATR to the complainant on SCORES within 10 calendar days of the review sought.
D. Complaints are automatically forwarded to the Securities Appellate Tribunal if not resolved within 7 days.
E. The first level of review is conducted by SEBI officials immediately upon request by the investor.

Answer: A,B,C

Explanation:
Entities must resolve complaints within 21 calendar days,. Complainants can request a review within 15 calendar days of the ATR. The Designated Body must submit the revised ATR within 10 calendar days of the review sought. Option D is incorrect as auto-escalation is to the next level (Designated Body/SEBI), not SAT. Option E is incorrect as the first review is by the Designated Body.

NEW QUESTION # 239
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. Within 21 days of the end of the quarter
B. By the 10th of the succeeding month
C. By the 7th of the succeeding month
D. By the 15th of the succeeding month
E. By the last day of the succeeding month

Answer: C

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 # 240
Under the SEBI (Foreign Portfolio Investors) Regulations, 2019, which of the following entities are classified as Category I Foreign Portfolio Investors? (Select all that apply)

A. Pension funds and university funds
B. Government and Government related investors such as central banks and sovereign wealth funds
C. Appropriately regulated entities such as insurance entities from FATF member countries
D. Corporate bodies and Family offices
E. Unregulated funds in the form of limited partnerships

Answer: A,B,C

Explanation:
Category I FPls include Government and Government related investors (central banks, sovereign wealth funds), Pension funds, university funds, and Appropriately Regulated entities like insurance/reinsurance entities, banks, and asset management companies from FATF member countries. Corporate bodies, family offices, and unregulated funds fall under Category II.

NEW QUESTION # 241
In the event of a default by a clearing member, the 'Default Waterfall' prescribes the specific order in which resources are utilized. Which of the following resources is utilized immediately after the monies of the defaulting member and Insurance (if any) are exhausted, but before the Core SGF is accessed?

A. Clearing Corporation resources equal to 5% of the segment MRC.
B. The entire Core SGF corpus on a pro-rata basis.
C. Penalties credited to the Core SGF.
D. Capped additional contribution by non-defaulting members.
E. Stock Exchange contribution to the Core SGF.

Answer: A

Explanation:
According to the Default Waterfall specified in the source, the order is: 1. Monies of defaulting member, 2. Insurance, if any, 3. CC resources (equal to 5% of the segment MRC), and then 4. Core SGF of the segment (starting with Penalties, then CC contribution of at least 25%, etc.).

NEW QUESTION # 242
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