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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: 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
Topic 2: Clearing and Settlement	- Settlement systems 1. Margining and risk adjustments 2. T+1/T+2 settlement cycles - Clearing mechanisms 1. Clearing corporations and counterparties 2. Netting and settlement obligations
Topic 3: Risk Management in Securities Markets	- Market and operational risk 1. Types of financial risks 2. Operational risk controls - Risk mitigation systems 1. Surveillance and compliance mechanisms 2. Margins and collateral systems
Topic 4: Securities Market Operations	- Market participants and structure 1. Order types and trading mechanism basics 2. Roles of brokers, exchanges, and investors - Trading process 1. Trade confirmation and reporting 2. Order execution and trade lifecycle

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q118-Q123):

NEW QUESTION # 118
Under Section 18A of the Securities Contracts (Regulation) Act, 1956, contracts in derivatives are considered legal and valid only if they satisfy specific conditions. Which of the following is a mandatory condition for such validity?

A. The contract must involve physical delivery of the underlying asset upon expiry.
B. The contract must be settled bilaterally between the buyer and the seller without an intermediary.
C. The contract must be validated by the Reserve Bank of India (RBI) prior to execution.
D. The contract must be traded Over-the-Counter (OTC) between two financial institutions.
E. The contract must be traded on a recognized stock exchange and settled on the clearing house of the recognized stock exchange.

Answer: E

Explanation:
Section 18A of the SCRA provides that contracts in derivatives shall be legal and valid if they are traded on a recognized stock exchange and settled on the clearing house of the recognized stock exchange, in accordance with the rules and bye-laws of such stock exchanges.

NEW QUESTION # 119
In the process of Broker Netting with the Clearing Corporation, what is the sequence of events regarding the determination of obligations?

A. Pay-in of funds Multilateral netting -> Pay-out of securities.
B. Multilateral netting -> List of transactions sent to member -> Pay-in/Pay-out confirmation.
C. Bilateral netting between brokers -> Confirmation to CC -> Settlement.
D. List of transactions sent to member -> Multilateral netting -> Members informed of amount/securities to receive/pay.
E. Gross settlement determination Netting within firm Multilateral netting.

Answer: D

Explanation:
The source describes the process: 'Every day, the clearing corporation sends the clearing member a list of all trading transactions made by him and his clients for the day. After this, clearing is performed by multilateral netting. Then the members are informed by the clearing corporation of the amount/securities to be received/paid by them to the other members.'

NEW QUESTION # 120
In the context of stock brokers providing mutual fund services, what specific compliance obligation is imposed by Regulation 4(g) of the SEBI (Investment Advisers) Regulations, 2013?

A. Stock brokers must route all mutual fund advisory transactions through a separate subsidiary company.
B. Stock brokers are prohibited from charging any commission on mutual fund distribution if they are registered as InvestmentAdvisers.
C. Stock brokers must maintain a minimum net worth of Rs. 1 Crore to offer investment advice.
D. Stock brokers must obtain a separate license from AMFI for providing advisory services.
E. Stock brokers must ensure client level segregation of advisory and distribution activities at the entity and group level.

Answer: E

Explanation:
Regulation 4(g) of SEBI (Investment Advisers) Regulations, 2013 requires stock brokers to comply with general obligations... which, inter-alia, provide that client level segregation of advisory and distribution activities needs to be ensured at the entity and group level.

NEW QUESTION # 121
According to the Securities Contract (Regulation) Rules, 1957, and Exchange norms, which of the following conditions render an entity or person ineligible to be admitted as a member of a Stock Exchange? (Select all that apply)

A. The person has compounded with their creditors for less than full discharge of debts.
B. The person is a Limited Liability Partnership registered under the Limited Liability Partnership Act, 2008.
C. The person has been adjudged bankrupt or a receiver order in bankruptcy has been made against them.
D. The person has been convicted of an offence involving fraud or dishonesty.
E. The person is engaged in any business other than Securities involving personal financial liability, without undertaking to sever connections.

Answer: A,C,D,E

Explanation:
Options A, B, C, and D are explicit disqualifications for membership under the regulations. An entity is ineligible if adjudged bankrupt, compounded with creditors for less than full discharge, convicted of fraud/dishonesty, or engaged in other business involving personal financial liability (unless they undertake to sever connections). Option E is incorrect as an LLP is eligible to be admitted as a member provided it meets the financial requirements and norms specified by SEBI.

NEW QUESTION # 122
Under the framework for 'Upstreaming of clients' funds', how should a Trading Member (TM) handle the funds received from clients whose running accounts have been settled?

A. The funds must be immediately transferred to the TM's proprietary account.
B. The funds can be used to settle the running accounts of other clients to ensure liquidity.
C. The funds must remain in the 'Up Streaming Client Nodal Bank Account' and cannot be used for settlement of running accounts of other clients.
D. The funds can be used for the TM's operational expenses provided they are replaced within 24 hours.
E. The funds should be invested in equity mutual funds to generate returns for the client.

Answer: C

Explanation:
To safeguard against misuse, 'Trading Member shall ensure that funds, if any, received from clients, whose running account has been settled, remain in the +1Jp Streaming Client Nodal Bank Accounte and no such funds shall be used for settlement of running account of other clients',.

NEW QUESTION # 123
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