Exam NISM-Series-VII Fees, NISM-Series-VII Valid Test Labs

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q270-Q275):

NEW QUESTION # 270
Under the SEBI (Infrastructure Investment Trusts) Regulations, 2014, if an InvlT raises funds via private placement, which of the following combinations of 'minimum investment' and 'trading lot' criteria must be met?

A. Minimum Investment: Rs. 10 Lakhs; Trading Lot: 1 Unit
B. Minimum Investment: Rs. 10,000; Trading Lot: Rs. 5 Lakhs
C. Minimum Investment: Rs. 50 Lakhs; Trading Lot: Rs. 10 Lakhs
D. Minimum Investment: Rs. 1 Crore; Trading Lot: Rs. 25 Lakhs
E. Minimum Investment: Rs. 25 Crores; Trading Lot: 1 Unit

Answer: D

Explanation:
According to the source regarding InvlTs raising funds by way of private placement: 'The minimum investment from any investor should be of rupees one crore.' and 'In case of private placement, trading lot for the purpose of trading of units on the designated stock exchange shall Rs. 25 lakhs.'

NEW QUESTION # 271
In the context of the settlement mechanism for institutional transactions, if a Custodian rejects a trade allocated to them by a broker, how is the settlement of such a rejected trade processed?

A. The trade is settled through the Delivery Versus Payment (DVP) basis.
B. The trade is annulled by the Stock Exchange immediately.
C. The trade is transferred to the broker's error account for liquidation.
D. The settlement is deferred to T+2 to allow for re-confirmation.
E. The Clearing Corporation settles the trade using the Core Settlement Guarantee Fund.

Answer: A

Explanation:
In the event of rejection of institutional trades by the custodian, the trade will be settled through Delivery Versus Payment (DVP) basis. Such trades will also be subjected to penalties as may be imposed by Stock Exchanges/Clearing Corporations.

NEW QUESTION # 272
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?

A. Clearing Members (CM) report only the aggregate figures to the CC, keeping client-level data internal.
B. Trading Members (TM) report directly to the Stock Exchanges, which then forward data to the CC.
C. Depositories report the collateral usage directly to the Clearing Corporation based on pledge data.
D. Trading Members (TM) report to the Clearing Member (CM), and the CM reports to the Stock Exchanges and Clearing Corporations.
E. Clients report directly to the Clearing Corporation via the web portal.

Answer: D

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 # 273
Which specific regulation defines a 'Clearing Corporation' as an entity established to undertake the activity of clearing and settlement of trades in securities or other instruments dealt on a recognized stock exchange?

A. SEBI (Intermediaries) Regulations, 2008
B. SEBI (Stock Brokers) Regulations, 1992
C. Securities Contracts (Regulation) Rules, 1957
D. Depositories Act, 1996
E. Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2018

Answer: E

Explanation:
The Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2018 defines a Clearing Corporation as an entity established to undertake the activity of clearing and settlement of trades in securities or other instruments or products that are dealt with or traded on a recognized stock exchange.

NEW QUESTION # 274
In the case of a **Demerger** where the conditions for re-introducing derivative contracts on the post-restructured company are met, what happens to the *existing* derivative contracts on the pre-restructured company?

A. They continue to trade with adjusted strike prices until the original expiry date.
B. They are automatically converted into contracts of the resultant demerged entity based on the demerger ratio.
C. They are cash-settled immediately at the average price of the last 6 months.
D. All existing contracts of the security shall be expired on the last cum date.
E. They are suspended for 3 days and re-listed with new lot sizes on the ex-date.

Answer: D

Explanation:
If the conditions are satisfied dealing with existing derivative contracts on the pre-restructured company, the course of action is that all existing contracts of the security shall be expired on the last cum date.

NEW QUESTION # 275
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