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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q193-Q198):

NEW QUESTION # 193
Apart from the primary clearing account, a Clearing Member is permitted to maintain an 'additional clearing account' with a designated clearing bank. For what specific operational purposes is this additional account utilized?

A. For the purpose of enhancement of collateral in the form of cash and providing early pay-in of funds.
B. For settlement of commodities derivatives trades only.
C. For receiving dividend payments from listed companies on behalf of clients.
D. For separating proprietary trading funds from client funds.
E. For collecting brokerage and statutory levies from clients.

Answer: A

Explanation:
The regulations specify that a Clearing Member can maintain and operate an additional clearing account with a designated clearing bank specifically for the purpose of enhancement of collateral in the form of cash and providing early pay-in of funds.

NEW QUESTION # 194
Select the correct statements regarding the operational features and requirements of the **Block Mechanism ** for Early Pay-in (EPI) transactions. (Select all that apply)

A. Depositories provide transfer instruction details (UCC, TM ID, etc.) to CCs to enable clients to avail EPI benefits.
B. In case of unmatched orders, the Clearing Corporation uploads the cancellation of Block instruction on T+1 day.
C. The facility of block mechanism is mandatory for all Early Pay-In transactions.
D. Pool to Pool transfers of securities are permitted between any two Trading Members under this mechanism.
E. Securities can be blocked by the client using the depository's online system, eDIS mandate, or physical DIS.

Answer: A,C,E

Explanation:
Statement A is correct: The facility is mandatory for all EPI transactions. Statement D is correct: Depositories provide details to CCs for EPI. Statement E is correct: Blocking can be done via online system, eDIS, or physical DIS. Statement B is incorrect because for unmatched orders, CCs upload cancellation on day", not T+1. Statement C is incorrect because Pool to Pool transfers are **not permitted** except from TM pool to CM pool.

NEW QUESTION # 195
Stock brokers bring out regular research reports for their clients. Which of the following is NOT explicitly listed in the NISM workbook as a type of research report typically provided by brokers?

A. High-Frequency Arbitrage Reports
B. Special Reports to cater to needs of some investors
C. Daily/weekly/fortnightly/monthly newsletters
D. Stock Research
E. Fundamental Research

Answer: A

Explanation:
The source explicitly lists the following types of reports: "Fundamental Research, Stock Research, Daily/weekly/fortnightly/monthly newsletters, Special Reports to cater to needs of some investors, and Sector Reports* *. 'High-Frequency Arbitrage Reports' is not mentioned in this list.

NEW QUESTION # 196
Regarding the handling of 'Funded Stocks' purchased under the Margin Trading Facility (MTF), which of the following operational procedures is mandated for the Stock Broker (Trading Member)?

A. Funded stocks must be transferred to the client's beneficiary account immediately without any pledge.
B. Funded stocks should be held in a separate 'Client Collateral Account' and can be re-pledged to the Clearing Corporation for other clients' margin obligations.
C. Funded stocks must be transferred to the client's demat account followed by the creation of an auto-pledge in favor of the broker's 'Client Securities under Margin Funding Account'.
D. Funded stocks must be transferred to a 'Client Unpaid Securities Pledgee Account' and disposed of within 5 days if payment is not received.
E. Funded stocks must be kept in the broker's 'Pool Account' until the client makes full payment.

Answer: C

Explanation:
Funded stocks held by the TMICM under the margin trading facility shall be held by the TM/CM only by way of pledge. Such funded stocks shall be transferred to respective client's demat account followed by creation of an auto-pledge (i.e., without the requirement of a specific instruction from the client) with suitable reason, in favor of 'Client Securities under Margin Funding Account'.

NEW QUESTION # 197
Identify the correct expiry and settlement logic for Currency Derivative contracts (USD-INR) traded on Indian stock exchanges.

A. Contracts expire two working days prior to the last business day of the expiry month at 12:30 pm; Final Settlement Price is the FBIL reference rate.
B. Contracts expire on the 1 5th of every month; Settlement is cash settled based on the crossing of FCY-INR rates.
C. Contracts expire two working days prior to the last business day of the month; Final Settlement Price is the average spot rate of the last 30 minutes.
D. Contracts expire on the last Thursday of the month; Settlement is physical delivery of the foreign currency.
E. Contracts expire on the last working day of the month; Final Settlement Price is the RBI Reference Rate.

Answer: A

Explanation:
For Currency Derivatives (USD-INR), the source states: 'The expiry day/ last day for the trading of the monthly contract shall be two working days prior to the last business day of the expiry month at 12.30 pm.' and 'The final settlement price for USDINR... is the FBIL (Financial Benchmarks India Pvt. Ltd.) reference rate.'

NEW QUESTION # 198
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