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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Trading Operations	15%	- Front office functions and processes - Order management and trade execution - Client onboarding and KYC norms
Topic 2: Securities Market Overview	10%	- Market participants and their roles - Types of securities and products - Structure and segments of Indian securities market
Topic 3: Market Microstructure	12%	- Trading mechanisms and order types - Price discovery and market efficiency - Market indices and their calculation
Topic 4: Risk Management and Margining	18%	- Margining systems and methodologies - Risk monitoring and control measures - Types of risks in securities operations
Topic 5: Clearing and Settlement	15%	- Clearing process and roles of clearing corporations - Delivery versus payment and settlement guarantee - Settlement cycle and mechanisms
Topic 6: Investor Protection	7%	- Investor rights and grievances redressal - Investor education and awareness initiatives - Mechanisms for dispute resolution
Topic 7: Regulatory Framework	15%	- SEBI Act, Rules and Regulations - Compliance requirements for intermediaries - Code of conduct and ethical practices
Topic 8: Technology in Securities Markets	8%	- Emerging technologies and their impact - Systems for trading, clearing and settlement - Data security and business continuity

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q324-Q329):

NEW QUESTION # 324
In the context of Interest Rate Derivatives traded on Indian exchanges, specifically for single bond futures on Government of India (GOI) securities, how is the final settlement price determined if the liquidity criteria in the underlying bond are not met during the last two hours of trading?

A. It is the simple average of the best bid and ask prices available on the NDS-OM platform at 5:00 PM.
B. It is calculated based on the Value Weighted Average Price (VWAP) of the underlying bond executed during the last 30 minutes of trading on the NDS-OM platform.
C. It is based on the polling of prices from the top 5 Primary Dealers if less than 10 trades are executed on the exchange.
D. It is derived from the theoretical price formula: Cash Price + Financing Cost - Income on cash position.
E. If less than 5 trades are executed in the underlying bond during the last two hours, the FIMMDA/FBIL price shall be used.

Answer: E

Explanation:
According to the product specifications for Interest Rate Derivatives, the final settlement price for single bond futures is the value weighted average price of the underlying bond based on prices during the last two hours of trading on NDS-OM. However, a specific fallback exists: 'If less than 5 trades are executed in the underlying bond during the last two hours of trading, then FIMMDA/FBIL price shall be used for final settlement.'

NEW QUESTION # 325
SEBI has introduced the mechanism of Net Settlement of cash segment and F&O segment upon expiry of stock derivatives. Under which of the following conditions is this benefit of netting (merged settlements) specifically available to an investor?

A. When the investor trades in highly correlated indices across different exchanges.
B. When the investor uses different Clearing Members for Cash and F&O segments but they are interoperable.
C. When the investor is a Portfolio Manager (PMS) directed to enter into delivery backed transactions only.
D. When the investor is an Institutional Investor (including FPIs) whose transactions are backed by delivery.
E. When the investor trades and clears through the same Trading Member (TM) - Clearing Member (CM) combination in both Cash and F&O segments.

Answer: E

Explanation:
The benefit of netting (merged settlements) shall be available to investors whose trading member (TM) clears trades in F&O segment and cash segment through the same clearing member (CM). It is not available for institutional investors or PMS directed to do delivery backed transactions.

NEW QUESTION # 326
Clearing Members are required to provide an irrevocable authorization to their Clearing Bank regarding the operation of their clearing accounts. What constitutes the specific scope of this authorization concerning the Clearing Corporation's access?

A. To audit the member's proprietary trading books and freeze accounts in case of high volatility.
B. To automatically convert funds into approved securities if the balance exceeds a specified threshold.
C. To debit and credit the clearing accounts as per instructions and report balances/information to the Clearing Corporation.
D. To transfer funds between the Cash and Derivatives segments without specific instructions from the Clearing Corporation.
E. To allow the Clearing Bank to use the idle funds in the clearing account for its own treasury operations.

Answer: C

Explanation:
Clearing members must irrevocably authorize the Clearing Bank to allow the Clearing Corporation to access their clearing accounts for debiting and crediting as per instructions, and for reporting of balances and other information as required by the Clearing Corporation.

NEW QUESTION # 327
Which type of risk, identified in the risk management framework for stock brokers, encompasses the scenario where a disruption at a firm or settlement system causes a 'domino effect' throughout financial markets?

A. Legal Risk
B. Market Risk
C. Credit Risk
D. Operational Risk
E. Systemic Risk

Answer: E

Explanation:
Systemic Risk refers to '(1) the scenario that a disruption at a firm, in a market segment, or to a settlement system could cause a 'domino effect' throughout the financial markets... or (2) a 'crisis of confidence' among investors, creating illiquid conditions'.

NEW QUESTION # 328
When a stock broker's collateral utilization breaches the specific percentage (currently 90%), the 'Risk Reduction Mode' is triggered. Which of the following operational restrictions and conditions apply during this mode? (Select all that apply)

A. Only orders with 'Immediate or Cancel' (IOC) attribute are permitted.
B. Fresh orders placed by the member to reduce the open position will be accepted.
C. Client and Custodial Participant code modification is permitted to rectify errors.
D. All unexecuted orders shall be cancelled immediately.
E. Non-margined orders are accepted without restriction to maintain liquidity.

Answer: A,B,D

Explanation:
In Risk Reduction Mode: 1) All unexecuted orders shall be cancelled. 2) Only orders with Immediate or Cancel attribute shall be permitted. 3) Fresh order placed by member to reduce the open position will be accepted. Option D is incorrect because non-margined orders shall *not* be accepted. Option E is incorrect because Client and Custodial Participant code modification shall *not* be permitted.

NEW QUESTION # 329
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