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NISM NISM-Series-VII Exam Syllabus Topics:

SectionWeightObjectives
Technology in Securities Markets8%- Emerging technologies and their impact
- Systems for trading, clearing and settlement
- Data security and business continuity
Market Microstructure12%- Market indices and their calculation
- Price discovery and market efficiency
- Trading mechanisms and order types
Trading Operations15%- Client onboarding and KYC norms
- Order management and trade execution
- Front office functions and processes
Securities Market Overview10%- Market participants and their roles
- Structure and segments of Indian securities market
- Types of securities and products
Regulatory Framework15%- Code of conduct and ethical practices
- SEBI Act, Rules and Regulations
- Compliance requirements for intermediaries
Risk Management and Margining18%- Margining systems and methodologies
- Risk monitoring and control measures
- Types of risks in securities operations
Investor Protection7%- Mechanisms for dispute resolution
- Investor education and awareness initiatives
- Investor rights and grievances redressal
Clearing and Settlement15%- Clearing process and roles of clearing corporations
- Delivery versus payment and settlement guarantee
- Settlement cycle and mechanisms

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q261-Q266):

NEW QUESTION # 261
Who is the 'Relevant Authority' empowered to decide on actions such as disciplinary actions or withdrawal of trading facility when a clearing member fails to discharge settlement dues?

Answer: D

Explanation:
The text states that the failure shall render the member liable for actions 'as may be decided by the Relevant Authority.'


NEW QUESTION # 262
To facilitate members in meeting their pay-in obligations for a subsequent settlement on a day with multiple settlements due to holidays, what specific requirement is imposed on Depositories regarding inter-depository transfers?

Answer: D

Explanation:
The guidelines specify: 'Further, in-order to meet their pay-in obligations for the subsequent settlement, members may need to move securities from one depository to another. The depositories shall, therefore, facilitate the inter-depository transfers within one hour and before pay- in for the subsequent settlement begins.'


NEW QUESTION # 263
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?

Answer: C

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 # 264
Consider the following trading data for Broker 'Y' in Security ABC on a specific trading day:
1. Sold 200 shares @ Rs. 10 to Broker X
2. Bought 50 shares @ Rs. 10.50 from Broker Z
3. Bought 300 shares @ Rs. 11 from Broker X
Calculate the Net Fund Obligation for Broker 'Y' to be settled with the Clearing Corporation.

Answer: E

Explanation:
Calculations based on the source example for Broker Y:
Sell Value: 200 * 10 = Rs. 2,000 (Inflow)
Buy Value: (50 10.50) + (300 * 11) = 525 + 3,300 = Rs. 3,825 (Outflow)
Net Fund Obligation = Inflow - Outflow = 2,000 - 3,825 = -1 ,825.
Since the value is negative, Broker Y has to Pay Rs. 1,825.


NEW QUESTION # 265
A registered Trading Member desires to clear and settle trades executed by them on their own account as well as for their clients. However, they specifically do not intend to clear trades for 'Custodial Participants'. Which category of membership on the Clearing Corporation corresponds strictly to these operational rights and limitations?

Answer: E

Explanation:
A Trading cum Self-Clearing Member (SCM) has trading as well as clearing rights. They are permitted to clear and settle trades executed by them only, either on their own account or on account of their clients, but not for custodian participants. In contrast, a TCM can clear for custodian participants.


NEW QUESTION # 266
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