2026 NISM-Series-VII Certification Book Torrent | High Pass-Rate NISM-Series-VII: NISM Series VII - Securities Operations and Risk Management Certification 100% Pass

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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Regulatory Framework- Role of the Securities and Exchange Board of India (SEBI)
  • 1. Investor protection
  • 2. Regulatory oversight
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
Investor Grievance Redressal- Process of investor grievances redressal
  • 1. Regulatory requirements
  • 2. Procedures for handling complaints
Risk Management- Risk management in a securities broking firm
  • 1. Identifying and mitigating risks
  • 2. Compliance and control measures
Indian Securities Market- Overview of the Indian securities market
  • 1. Various market participants and their roles
  • 2. Different products traded
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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q333-Q338):

NEW QUESTION # 333
In the event of a default by a clearing member, the 'Default Waterfall' prescribes the specific order in which resources are utilized. Which of the following resources is utilized immediately after the monies of the defaulting member and Insurance (if any) are exhausted, but before the Core SGF is accessed?

Answer: C

Explanation:
According to the Default Waterfall specified in the source, the order is: 1. Monies of defaulting member, 2. Insurance, if any, 3. CC resources (equal to 5% of the segment MRC), and then 4. Core SGF of the segment (starting with Penalties, then CC contribution of at least 25%, etc.).


NEW QUESTION # 334
Stock Exchanges are mandated to maintain Investor Service Centres (ISCs) to assist investors. Which of the following is specifically listed as a mandatory facility that ISCS must provide to investors regarding the arbitration process?

Answer: E

Explanation:
ISCS are required to provide arbitration and appellate arbitration facility including video-calling facility to investors for attending their online arbitration (including appellate arbitration) or Grievance Redressal meetings.


NEW QUESTION # 335
To ensure visibility of client collateral and prevent misuse, SEBI mandated a reporting mechanism. How is the disaggregated collateral information reported up the chain to the Clearing Corporation?

Answer: E

Explanation:
The framework specifies that the TM shall report disaggregated information on collaterals up to the level of its clients to the CM. Subsequently, the CM shall report disaggregated information on collaterals up to the level of clients of TM and proprietary collaterals of the TMs to the Stock Exchanges (SEs) and CCs in respect of each segment.


NEW QUESTION # 336
Under the Beta version of the T+0 rolling settlement cycle, how are securities shortages handled differently compared to the standard T+1 settlement cycle?

Answer: C

Explanation:
In the Beta version of T+0 rolling settlement, 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 # 337
In the context of the Indian Money Market, issuers must adhere to specific credit rating requirements to issue Commercial Paper (CP).
What is the minimum credit rating required from a Credit Rating Agency (CRA) for the issuance of CPs?

Answer: D

Explanation:
A Commercial Paper (CP) is used by Indian corporates to raise short-term unsecured funds. According to RBI regulations, the minimum credit rating assigned by a Credit Rating Agency (CRA) for the issuance of CPs shall be 'A3' as per the rating symbol and definition prescribed by SEBI.


NEW QUESTION # 338
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