Valid NISM-Series-VII Test Topics - Valid NISM-Series-VII Exam Tips

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NISM NISM-Series-VII Exam Syllabus Topics:

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

>> Valid NISM-Series-VII Test Topics <<

2026 Valid NISM-Series-VII Test Topics | The Best 100% Free Valid NISM-Series-VII Exam Tips

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q201-Q206):

NEW QUESTION # 201
In the context of the 'Trade to trade' or 'Gross obligations' method for determining settlement obligations, how are a member's funds obligations calculated?

A. Funds pay-in is the net of cumulative buy and sell values, while funds pay-out is zero.
B. Funds pay-in is the cumulative buy value minus 20% margin, and pay-out is the cumulative sell value.
C. Funds pay-in is equivalent to the cumulative value of buy transactions, and funds pay-out is equivalent to the cumulative sell value.
D. Funds pay-in and pay-out are both calculated on a netted basis across all clients.
E. Funds obligations are determined solely based on the netted quantity of securities delivered.

Answer: C

Explanation:
Under 'Trade to trade or Gross obligations', transactions will not be netted. A member's funds pay-in will be equivalent to cumulative value of buy transactions and funds pay-out will be equivalent to cumulative sell value.

NEW QUESTION # 202
In the Clearing Process for Derivatives, how is a Trading Member's (TM) open position calculated for the purpose of exposure and daily margin?

A. Gross of all buy and sell transactions without any netting at contract level.
B. Net of Proprietary Position and Client Positions (Buy - Sell for the entire firm).
C. Sum of Proprietary Open Position, Client Open Long Position, and Client Open Short Position.
D. Higher of the Proprietary Position or the sum of Client Positions.
E. Sum of Proprietary Net Position and Client Net Positions (netted across all clients).

Answer: C

Explanation:
A TM's open position is the sum of proprietary open position, client open long position and client open short position. Clients' positions are arrived at by summing together net positions of each individual client, but positions are not netted across clients.

NEW QUESTION # 203
Which of the following statements correctly describe the operational framework for the settlement of institutional transactions in the Cash Segment? (Select all that apply)

A. All transactions are grossed for institutional investors at the custodian level for obligation fulfillment.
B. It is mandatory for all institutional trades to be processed through the Straight Through Processing (STP) system.
C. The Custodial Participant (CP) Code must be entered at the time of order entry.
D. Institutional investors are permitted to square off their transactions intra-day (Day Trading).
E. The custodian settles their deliveries on a gross basis with the stock exchanges.

Answer: A,B,C

Explanation:
Statement A is correct (Mandatory STP). Statement C is correct (Transactions grossed at custodian level for investor obligation). Statement E is correct (Mandatory CP code at order entry). Statement B is incorrect (Day trading prohibited). Statement D is incorrect because the custodian continues to settle their deliveries on a *net basis* with the stock exchanges/clearing corporation, even though the client obligation is gross.

NEW QUESTION # 204
Regarding the maintenance of a Running Account for funds by a stock broker for a client, which of the following statements accurately reflects the regulatory requirement for the actual settlement of funds?

A. Settlement shall be done on the first Friday and/or Saturday of every month/quarter, based on the annual calendar issued jointly by Stock Exchanges.
B. Settlement must occur within 24 hours of the payout for every transaction, regardless of the running account authorization.
C. Settlement must be done on the last trading day of every month or quarter as per the client's preference.
D. Settlement dates are determined individually by each stock broker based on their internal risk management policy.
E. Settlement is mandatory only when the credit balance exceeds Rs. 10,000; otherwise, funds can be retained indefinitely.

Answer: A

Explanation:
As per the source, the settlement of running accounts of funds shall be done on 'Quarterly and monthly basis, on the dates stipulated by the Exchanges'. Specifically, 'Settlement of running account shall be settled on first Friday and/or Saturday of every month/quarter.' Stock exchanges jointly issue the annual calendar for this purpose.

NEW QUESTION # 205
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. The participant's own securities or those of related entities
B. Certificates of Deposit (CDs)
C. Listed corporate bonds rated 'AA' or above
D. Units of Debt Exchange Traded Funds (ETFs)
E. Commercial Papers (CPs)

Answer: A

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 # 206
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