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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q320-Q325):

NEW QUESTION # 320
Various intermediaries play specific roles in the securities ecosystem. Which specific group of intermediaries is described as providing 'important infrastructure services' to both the primary and secondary markets?

A. Investment Advisors and Research Analysts
B. Merchant Bankers and Underwriters
C. Registrars and Transfer Agents, Custodians, and Depositories
D. Foreign Portfolio Investors (FPls) and Mutual Funds
E. Stock Brokers and Sub-brokers

Answer: C

Explanation:
The source specifically identifies Registrars and Transfer Agents, Custodians, and Depositories as capital market intermediaries which provide important infrastructure services to both the primary and secondary markets.

NEW QUESTION # 321
Which of the following data fields must match between the transfer instruction and the Clearing Corporation's obligation data for a Pay-In instruction to be considered a 'Matched Instruction' and subsequently executed? (Select all that apply)

A. ISIN (International Securities Identification Number)
B. CM ID (Clearing Member ID)
C. TM ID (Trading Member ID)
D. Client's Bank Account Number
E. UCC (Unique Client Code)

Answer: A,B,C,E

Explanation:
The text states that in case of matching of all details like 'UCC, TM ID, CM ID, ISIN, quantity, settlement details etc.' of the transfer instruction with the obligation data, the instruction shall be carried out. The Client's Bank Account Number is not mentioned as a validation parameter for securities pay-in.

NEW QUESTION # 322
Stock Exchanges are required to maintain Investor Service Centres (ISCs) to assist investors. Which of the following facilities is mandatorily required to be provided at all ISCS according to SEBI guidelines?

A. A dedicated legal aid clinic with free lawyers for filing civil suits.
B. Arbitration and appellate arbitration facility including video-calling facility.
C. A library containing all annual reports of listed companies for the last 10 years.
D. A direct hotline to the Ministry of Finance.
E. A banking counter for immediate disbursement of Investor Protection Fund claims.

Answer: B

Explanation:
SEBI has advised Exchanges to provide certain minimum facilities in ISCs, which includes arbitration and appellate arbitration facility at all ISCS including video-calling facility to investors for attending their online arbitration or Grievance Redressal meetings.

NEW QUESTION # 323
In the context of risk management for the T+0 settlement cycle, how are securities shortages handled if a selling member fails to deliver shares?

A. By conducting an auction session on T+1 day along with the regular market auction.
B. By conducting an auction session on T+0 day at 2:30 PM.
C. Security shortages are directly closed out at 10% above the highest price of the day across all exchanges for the T+0 market.
D. By imposing a standard valuation debit of 20% above the closing price.
E. The trade is annulled, and the buyer is refunded the transaction amount without penalty.

Answer: C

Explanation:
The source states that 'Auction shall not be conducted in case of securities shortage. Security shortages shall be directly closed out at 10% above the highest price of the day across all exchanges for T+0 market.'

NEW QUESTION # 324
Which of the following statements correctly reflect the regulatory framework and operational guidelines for the trading of Mutual Fund units on Stock Exchange Platforms? (Select all that apply)

A. For both demat and non-demat mode transactions, units shall be credited/debited directly to/from the investors' account without routing through the broker's pool account.
B. Stock brokers are permitted to pool funds in a specific 'Mutual Fund Nodal Account' before transferring to the Clearing Corporation.
C. Only stock brokers can access the Exchange platform for Mutual Funds; Mutual Fund Distributors are explicitly excluded.
D. Asset Management Companies (AMCs) must enter into an agreement with the Exchange/Clearing Corporation to provide this mechanism.
E. Funds pay-in is directly received by the clearing corporation from the investor account and funds pay-out is directly made to the investor account.

Answer: A,D,E

Explanation:
StatementA is correct. Statement B is correct. Statement D is correct. Statement C is incorrect as pooling of funds is discontinued. Statement E is incorrect as Mutual Fund Distributors registered with AMFI who are permitted by the stock exchanges can also participate.

NEW QUESTION # 325
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