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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Technology in Securities Markets	8%	- Emerging technologies and their impact - Systems for trading, clearing and settlement - Data security and business continuity
Topic 2: Investor Protection	7%	- Investor rights and grievances redressal - Mechanisms for dispute resolution - Investor education and awareness initiatives
Topic 3: Trading Operations	15%	- Client onboarding and KYC norms - Order management and trade execution - Front office functions and processes
Topic 4: Risk Management and Margining	18%	- Margining systems and methodologies - Types of risks in securities operations - Risk monitoring and control measures
Topic 5: Clearing and Settlement	15%	- Clearing process and roles of clearing corporations - Settlement cycle and mechanisms - Delivery versus payment and settlement guarantee
Topic 6: Market Microstructure	12%	- Market indices and their calculation - Trading mechanisms and order types - Price discovery and market efficiency
Topic 7: Securities Market Overview	10%	- Structure and segments of Indian securities market - Market participants and their roles - Types of securities and products
Topic 8: Regulatory Framework	15%	- SEBI Act, Rules and Regulations - Code of conduct and ethical practices - Compliance requirements for intermediaries

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q168-Q173):

NEW QUESTION # 168
In the context of 'Settlement of Account of Clients who have not traded in the last 30 days', how must a Trading Member (TM) handle a client's credit balance if the client has not executed any transaction for 30 calendar days?

A. The TM is allowed to retain funds up to Rs. 50,000 for administrative charges and return the rest.
B. The TM must return the entire credit balance to the client on the upcoming settlement dates of the monthly running account settlement cycle, irrespective of the client's preference.
C. The TM must transfer the funds to the Investor Protection Fund (IPF) after 30 days of inactivity.
D. The TM can continue to hold the funds until the next quarterly settlement date preferred by the client.
E. The TM must obtain a fresh Running Account Authorization from the client to continue holding the funds.

Answer: B

Explanation:
For clients having a credit balance who have not done any transaction in 30 calendar days, 'the entire credit balance of client shall be returned to the client by TM, on the upcoming settlement dates of monthly running account settlement cycle (irrespective of settlement cycle preferred by the client) as stipulated by stock exchanges'.

NEW QUESTION # 169
Which of the following statements are TRUE regarding the management, accruals, and usage of the Core Settlement Guarantee Fund (Core SGF)? (Select all that apply)

A. Interest on cash contribution to Core SGF accrues to the Clearing Corporation as management fees.
B. Any penalties levied by the Clearing Corporation shall be credited to the Core SGF corpus.
C. The Regulatory Oversight Committee (ROC) of the Clearing Corporation manages the Core SGF.
D. Stock Exchanges are allowed to transfer excess contribution made by them from the Core SGF of one CC to the Core SGF of another CC in an inter-operable scenario.
E. CC contribution to Core SGF is treated as a liability and excluded from its net worth.

Answer: B,C,D

Explanation:
According to the source: Penalties levied by CC shall be credited to Core SGF corpus (Option A is True). Interest on cash contribution shall accrue to the Core SGF and be attributed pro-rata (Option B is False). The ROC of the CC shall manage the Core SGF (Option C is True). SEs are allowed to transfer excess contribution in inter-operable scenarios (Option D is True). CC contribution to core SGF shall be considered as part of its net worth (Option E is False).

NEW QUESTION # 170
In the T+1 rolling settlement process for the Cash Market, how is the 'Pay-in of Funds' executed between the Clearing Member and the Clearing Corporation?

A. The Clearing Bank automatically debits the member's account based on the trade data received directly from the Stock Exchange.
B. The Clearing Corporation advises the Clearing Bank to debit the Clearing Member's account and credit the Clearing Corporation's account.
C. The Clearing Member transfers funds via RTGS to the Exchange's Investor Protection Fund.
D. The Clearing Corporation pulls funds directly from the client's bank account via the UPI block mechanism.
E. The Clearing Member issues a physical cheque to the Clearing Corporation by 11 AM.

Answer: B

Explanation:
During the pay-in of funds, the Clearing Corporation advises the Clearing Banks to debit the account of Custodians/Clearing members and credit its (Clearing Corporation's) account. The Clearing Bank executes this based on the instruction.

NEW QUESTION # 171
Stock Exchanges are required to maintain Investor Service Centres (ISCs) to assist investors. Which of the following facilities is mandatorily required to be provided at all ISCS according to SEBI guidelines?

A. A banking counter for immediate disbursement of Investor Protection Fund claims.
B. A library containing all annual reports of listed companies for the last 10 years.
C. A dedicated legal aid clinic with free lawyers for filing civil suits.
D. A direct hotline to the Ministry of Finance.
E. Arbitration and appellate arbitration facility including video-calling facility.

Answer: E

Explanation:
SEBI has advised Exchanges to provide certain minimum facilities in ISCs, which includes arbitration and appellate arbitration facility at all ISCS including video-calling facility to investors for attending their online arbitration or Grievance Redressal meetings.

NEW QUESTION # 172
Certain types of complaints fall outside the purview of the SEBI Complaints Redress System (SCORES). Which of the following is explicitly NOT dealt with through SCORES?

A. Complaints regarding dematerialization delays by a Depository Participant.
B. Complaints regarding unauthorized trading by a sub-broker.
C. Complaints against listed companies regarding non-receipt of dividends.
D. Complaints against registered stock brokers regarding non-receipt of funds.
E. Complaints against companies where a moratorium order is passed in insolvency proceedings.

Answer: E

Explanation:
At present, complaints against a sick company or a company where a moratorium order is passed in winding up / insolvency proceedings are not dealt with through SCORES. Other exclusions include complaints against unlisted/delisted companies, sub-judice cases, and those under other regulators like RBI/IRDAI.,

NEW QUESTION # 173
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