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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Technology in Securities Markets	8%	- Data security and business continuity - Emerging technologies and their impact - Systems for trading, clearing and settlement
Market Microstructure	12%	- Trading mechanisms and order types - Market indices and their calculation - Price discovery and market efficiency
Investor Protection	7%	- Mechanisms for dispute resolution - Investor education and awareness initiatives - Investor rights and grievances redressal
Clearing and Settlement	15%	- Delivery versus payment and settlement guarantee - Settlement cycle and mechanisms - Clearing process and roles of clearing corporations
Trading Operations	15%	- Front office functions and processes - Client onboarding and KYC norms - Order management and trade execution
Regulatory Framework	15%	- Code of conduct and ethical practices - SEBI Act, Rules and Regulations - Compliance requirements for intermediaries
Securities Market Overview	10%	- Market participants and their roles - Structure and segments of Indian securities market - Types of securities and products
Risk Management and Margining	18%	- Margining systems and methodologies - Risk monitoring and control measures - Types of risks in securities operations

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q186-Q191):

NEW QUESTION # 186
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. Clearing Corporation resources equal to 5% of the segment MRC.
B. Stock Exchange contribution to Core SGF.
C. Capped additional contribution by non-defaulting members.
D. Penalties credited to Core SGF.
E. Clearing Member Primary Contribution.

Answer: A

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 # 187
Which of the following guidelines are mandated to enable smooth settlement processes and help Clearing Corporations meet obligations in case of holidays? (Select all that apply)

A. Settlements for all trade dates falling on holidays must be deferred to the next working week.
B. Pay-in and pay-out of the first settlement must be completed before the commencement of the subsequent settlement.
C. CCs shall clear and settle trades on a sequential basis.
D. Depositories shall facilitate inter-depository transfers within one hour and before pay-in for the subsequent settlement begins.
E. Members are prohibited from using the pay-out of the first settlement for the subsequent settlement's pay-in.

Answer: B,C,D

Explanation:
The guidelines include: 1. 'The CCs shall clear and settle the trades on a sequential basis'; 2. 'pay-in and the pay-out of the first settlement shall be completed before the commencement... of the subsequent settlement(s)'; 3. 'depositories shall... facilitate the inter-depository transfers within one hour and before pay-in for the subsequent settlement begins.' Option D is incorrect as settlements are completed on the same day. Option E is incorrect as the pay-out is specifically made available for the subsequent pay-in.

NEW QUESTION # 188
Under the framework for 'Segregation and Monitoring of Collateral at Client Level', when the Clearing Corporation (CC) receives a trade from a client account, what is the specific sequential order in which the margin is blocked if the primary source is insufficient?

A. CM Proprietary Collateral TM Proprietary Collateral -> Client Collateral
B. Client Collateral Excess Collateral of other Clients CM Proprietary Collateral
C. Client Collateral -> TM Proprietary Collateral -> CM Proprietary Collateral
D. Client Collateral -> CM Proprietary Collateral -> TM Proprietary Collateral
E. TM Proprietary Collateral -> Client Collateral -> CM Proprietary Collateral

Answer: C

Explanation:
According to the margin payment and collateral segregation guidelines, on receipt of a trade from a client account by the CC, the margin shall first be blocked from the value of the client collateral. If the client collateral is not sufficient, the residual margin shall be blocked from the TM proprietary collateral. If the TM proprietary collateral is also not sufficient, then the residual margin shall be blocked from the CM proprietary collateral.

NEW QUESTION # 189
Stock brokers are required to maintain evidence of clients placing orders to prevent unauthorized trades. Which of the following statements accurately describes the regulatory requirements regarding the forms of evidence and the retention period?

A. Evidence is optional for internet-based transactions and must be retained for 1 year.
B. In case of a dispute, records can be disposed of immediately after the broker files a response.
C. Evidence can be physical records, telephone recordings, emails, or SMS logs, and must be retained for a minimum of 3 years.
D. Evidence must be physical records only, retained for 5 years.
E. Telephone recordings are mandatory only for institutional clients and must be kept for 2 years.

Answer: C

Explanation:
The source states that brokers shall execute trades only after keeping evidence in forms such as 'Physical record written & signed by client, Telephone recording, Email from authorized email id, Log for internet transactions, Record of SMS messages'. Regarding retention: 'The Brokers are required to maintain the records for a minimum period for which the arbitration accepts investors' complaints as notified from time to time (which is currently three years).'

NEW QUESTION # 190
Under the framework for Repo in Corporate Debt Securities, which of the following is strictly PROHIBITED from being used as collateral by a participant?

A. Commercial Papers (CPs)
B. Certificates of Deposit (CDs)
C. Listed corporate bonds rated 'AA' or above
D. The participant's own securities or those of related entities
E. Units of Debt Exchange Traded Funds (ETFs)

Answer: D

Explanation:
While listed corporate bonds, CPs, CDs, and Units of Debt ETFs are eligible securities for Corporate Bond Repo, participants cannot borrow against the collateral of their own securities or those of related entities.

NEW QUESTION # 191
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