Pass Guaranteed Quiz NISM First-grade NISM-Series-VII NISM Series VII - Securities Operations and Risk Management Certification New Study Notes

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Trade execution 2. Settlement processing 3. Risk management
Indian Securities Market	- Overview of the Indian securities market 1. Different products traded 2. Various market participants and their roles
Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Regulatory oversight 2. Investor protection
Risk Management	- Risk management in a securities broking firm 1. Identifying and mitigating risks 2. Compliance and control measures
Investor Grievance Redressal	- Process of investor grievances redressal 1. Regulatory requirements 2. Procedures for handling complaints
Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Role of the back office in a securities broking firm 2. Clearing and settlement process

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q82-Q87):

NEW QUESTION # 82
A Trading Member executes sell orders in the T+0 settlement cycle. What is the mandatory mechanism required to fulfill the pay-in of securities for these sell obligations?

A. Inter-depository transfer to the settlement account of the Clearing Corporation post-trading hours.
B. Only by way of early pay-in (EPI) using the block mechanism.
C. Auto-pledge of securities in favor of the Clearing Corporation.
D. Transfer to the Member Pool Account by 10:30 AM on T day.
E. Standard pay-in instruction via physical DIS submitted to the Depository Participant.

Answer: B

Explanation:
The regulations specify that pay-in for T+0 sell obligations shall be allowed only by way of early pay-in using block mechanism.

NEW QUESTION # 83
Since auction sessions are not applicable under the T+0 settlement cycle, how are securities shortages handled by the Clearing Corporation?

A. Shortages are deemed as 'bad delivery' and the trade is annulled immediately.
B. Shortages are directly closed out at a rate of 20% above the official closing price of the T+1 market.
C. Shortages are carried forward to the T+1 auction session conducted on the next day.
D. Shortages are settled by borrowing securities from the Securities Lending and Borrowing (SLB) segment automatically.
E. Shortages are directly closed out at above the highest price of the day across all exchanges for the T+0 market.

Answer: E

Explanation:
In the T+0 settlement cycle, an 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 the T+0 market.

NEW QUESTION # 84
Which of the following statements are CORRECT regarding the Settlement of Securities in the Indian Cash Market? (Select all that apply)

A. Clients can authorize the broker via DDPI to access their BO account for the limited purpose of meeting pay-in obligations.
B. In case of holidays, the CCs settle trades on a sequential basis, ensuring the pay-out of the first settlement is completed before the pay-in of the subsequent settlement.
C. As a consequence of Direct Payout, the timing of the securities payout has been revised to 3:30 PM.
D. Purchasers of securities are required to issue a fresh receipt instruction to their DP for every transaction, as standing instructions are prohibited.
E. The securities direct pay-out mandated by SEBI is applicable to all clients, including those having arrangements with registered custodians.

Answer: A,B,C

Explanation:
StatementA is incorrect because the direct pay-out is *not* applicable to clients having arrangements with custodians. Statement B is correct regarding sequential settlement. Statement C is correct regarding DDPI. Statement D is incorrect because purchasers *can* give one- time standing instructions. Statement E is correct regarding the revised timing to 3:30 PM.

NEW QUESTION # 85
Identify the correct expiry and settlement logic for Currency Derivative contracts (USD-INR) traded on Indian stock exchanges.

A. Contracts expire on the last Thursday of the month; Settlement is physical delivery of the foreign currency.
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 expiry month at 12:30 pm; Final Settlement Price is the FBIL reference rate.
D. 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.
E. Contracts expire on the last working day of the month; Final Settlement Price is the RBI Reference Rate.

Answer: C

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 # 86
According to the 'Default Waterfall' mechanism for the Core Settlement Guarantee Fund (Core SGF), if a member defaults, which resource is utilized immediately **after** the defaulting member's monies (and insurance) are exhausted, but **before** the Core SGF corpus is accessed?

A. Capped additional contribution by non-defaulting members.
B. Clearing Corporation resources equal to 5% of the segment MRC.
C. Stock Exchange contribution to Core SGF.
D. Penalties credited to Core SGF.
E. Clearing Member Primary Contribution.

Answer: B

Explanation:
The utilization of the Settlement Guarantee Fund is generally in the following order: 1. Monies of defaulting member. 2. Insurance, if any. 3. resources (equal to 5% of the segment 4. Core SGF of the segment.

NEW QUESTION # 87
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