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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Clearing and Settlement	- Clearing mechanisms 1. Netting and settlement obligations 2. Clearing corporations and counterparties - Settlement systems 1. T+1/T+2 settlement cycles 2. Margining and risk adjustments
Topic 2: Securities Market Operations	- Trading process 1. Order execution and trade lifecycle 2. Trade confirmation and reporting - Market participants and structure 1. Roles of brokers, exchanges, and investors 2. Order types and trading mechanism basics
Topic 3: Depository Operations	- Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits - Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles
Topic 4: Risk Management in Securities Markets	- Risk mitigation systems 1. Surveillance and compliance mechanisms 2. Margins and collateral systems - Market and operational risk 1. Operational risk controls 2. Types of financial risks

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q108-Q113):

NEW QUESTION # 108
In the context of the beta version of the T+0 rolling settlement cycle, how is the applicable price band for a security determined and managed relative to the regular T+1 market?

A. It mirrors the dynamic price band of the T+1 market exactly, flexing only when the T+1 market hits its circuit limit.
B. It operates with a price band of +100 basis points from the price in the regular T+1 market, re-calibrated after every 50 basis points movement in the underlying T+1 market.
C. It is set at +1- 1% of the previous day's closing price and remains static throughout the trading session 09:15 AM to 3:30 PM.
D. It operates with a fixed price band of +/- 5% irrespective of the movement in the T+1 market.
E. It operates with a price band of +50 basis points from the opening price of the T+0 market, without any re-calibration during the session.

Answer: B

Explanation:
According to the operational details for T+0 settlement, the price in the T+0 segment will operate with a price band of +100 basis points from the price in the regular T+1 market. This band will be re-calibrated after every 50 basis points movement in the underlying T+1 market.

NEW QUESTION # 109
When a delivery shortage is identified before the auction is conducted, the Clearing Corporation debits the clearing member by an amount equivalent to the securities not delivered, valued at a specific price. What is this pre-auction debit transaction formally called?

A. Provisional Margin Call
B. Auction Entry Fee
C. Shortage Collateral Block
D. Valuation Debit
E. Close-out Penalty

Answer: D

Explanation:
Once shortages are identified, the members are debited by an amount equivalent to the securities not delivered and valued at a valuation price. This is known as 'valuation debit'.

NEW QUESTION # 110
SEBI has issued guidelines regarding the discontinuation of usage of pool accounts for transactions in units of Mutual Funds on Stock Exchange Platforms. Under this framework, which of the following practices is explicitly **PERMITTED** as an exception to the general rule against routing units through pool accounts?

A. Holding non-demat units in a 'Client Unpaid Securities Account' if the client defaults on the subscription payment.
B. Routing funds for subscription through the broker's clearing bank account for clients availing margin trading facilities.
C. Crediting subscription units to the broker's pool account for reconciliation before transferring to the client.
D. Pooling of redemption proceeds in the broker's settlement account for deduction of statutory levies before payout to the client.
E. Issuance of Delivery Instruction Slip (DIS) to the Depository Participant to debit units held in dematerialized mode for delivery to the Clearing Corporation during redemption.

Answer: E

Explanation:
SEBI has advised that pooling of funds/units by stock brokers shall be discontinued. However, for redemption of units held in dematerialized mode, the practice of issuance of Delivery Instruction Slip ('DIS') (physical or electronic) to the Depository Participant to debit the units for delivery to clearing corporation may continue.

NEW QUESTION # 111
Under the SEBI (Prohibition of Insider Trading) Regulations, 2015, which of the following parties is deemed to be a 'Connected Person' unless the contrary is established?

A. A vendor supplying office stationery on a one-off basis.
B. A banker of the company.
C. A former employee who left the company 12 months prior to the act.
D. A shareholder holding 5% interest in the company.
E. An individual who has never held a position in the company.

Answer: B

Explanation:
The regulations list categories of persons deemed to be 'Connected Persons'. This list includes a banker of the company. A former employee is a connected person if associated within 6 months prior to the act. A holding of more than 10% interest is required to be deemed connected. Therefore, a banker is the correct deemed connected person.

NEW QUESTION # 112
Regarding the maintenance and preservation of books of account and other records by stock brokers, which of the following statements accurately reflects the regulatory requirements under the Securities Contracts (Regulation) Rules, 1957 (SCRR) and SEBI Regulations?

A. Books must be maintained in physical form only for a minimum of 5 years; electronic records are optional.
B. Books must be preserved for 8 years in alignment with the Companies Act, regardless of SEBI regulations.
C. Books must be preserved for 10 years if the broker is involved in algorithmic trading.
D. Books must be preserved for 3 years; seized originals need not be tracked once handed over to agencies.
E. Books must be preserved for 5 years; if originals are seized by an enforcement agency, they must be preserved (originals or copies) until the trial is completed.

Answer: E

Explanation:
As per Regulation 18 of the Stock Brokers Regulations 1992 and SCRR 1957, every stock broker shall preserve the specified books of account for a minimum period of five years. Furthermore, it is advised to preserve the originals (or copies if originals are taken) of documents taken by enforcement agencies during an investigation till the trial is completed.

NEW QUESTION # 113
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