Free PDF 2026 Pass-Sure NISM NISM-Series-VII: Certification NISM Series VII - Securities Operations and Risk Management Certification Exam

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q92-Q97):

                                  NEW QUESTION # 92
                                  Which of the following statements correctly reflect the general responsibilities and investment restrictions imposed on a Portfolio Manager by SEBI? (Select all that apply)

                                  Answer: A,C,D

                                  Explanation:
                                  Option A is correct: 'The portfolio manager shall not borrow funds or securities on behalf of the client.' Option C is correct: 'Portfolio Managers may invest in units of Mutual Funds only through direct plan.' Option D is correct: 'shall segregate each client's holding in securities in separate accounts.' Option B is incorrect as lending is generally prohibited except as provided under regulation. Option E is incorrect as deploying funds in bill discounting is prohibited.


                                  NEW QUESTION # 93
                                  Which of the following statements correctly describe the clearing and netting processes involving brokers and the Clearing Corporation?
                                  (Select all that apply)

                                  Answer: A,B,D,E

                                  Explanation:
                                  All selected statements are correct based on the source text.
                                  - 'Stock brokers are allowed to net the clients account within the firm.' [A]
                                  - 'Clearing is performed by multilateral netting.' [B]
                                  - 'Every day, the clearing corporation sends the clearing member a list of all trading transactions...' [C]
                                  - 'Final pay-in/pay-out... is carried out through clearing banks and depository participants.' [E]
                                  - Statement D is incorrect because netting is multilateral, not bilateral.


                                  NEW QUESTION # 94
                                  To bring transparency to the Investor Grievance Redressal Mechanism, stock brokers are mandated to disclose data on complaints received and redressed on their respective websites. What is the specific deadline for this disclosure?

                                  Answer: D

                                  Explanation:
                                  All Stock Brokers shall disclose on their respective websites, the data on complaints received against them or against issues dealt by them and redressal thereof, latest by the seventh of the succeeding month, as per the SEBI provided format.


                                  NEW QUESTION # 95
                                  Which of the following scenarios is explicitly EXEMPT from the mandatory periodic settlement of running accounts for funds?

                                  Answer: A

                                  Explanation:
                                  Periodic settlement of running accounts may not be necessary in specific cases, including: 'In case of institutional clients settling trades through custodians'. Other exceptions include clients availing margin trading facility (to the extent of funds relating to MTF) and funds received as BG/FDR collaterals.


                                  NEW QUESTION # 96
                                  In the context of corporate actions adjustment for * *Bonus, Stock Splits, and Consolidations** in the Equity F&O segment, how are the New Strike Price and New Market Lot determined relative to the Adjustment Factor?

                                  Answer: E

                                  Explanation:
                                  According to the methodology for adjustment in Equity F&O for Bonus, Stock Splits, and Consolidations: The new strike price shall be arrived at by dividing the old strike price by the adjustment factor. The new market lot/multiplier shall be arrived at by multiplying the old market lot by the adjustment factor.


                                  NEW QUESTION # 97
                                  ......

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