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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q29-Q34):

NEW QUESTION # 29
SEBI has issued guidelines regarding the discontinuation of usage of pool accounts for transactions in units of Mutual Funds on Stock Exchange Platforms. Under this framework, which of the following practices is explicitly **PERMITTED** as an exception to the general rule against routing units through pool accounts?

A. Crediting subscription units to the broker's pool account for reconciliation before transferring to the client.
B. Pooling of redemption proceeds in the broker's settlement account for deduction of statutory levies before payout to the client.
C. Routing funds for subscription through the broker's clearing bank account for clients availing margin trading facilities.
D. Holding non-demat units in a 'Client Unpaid Securities Account' if the client defaults on the subscription payment.
E. Issuance of Delivery Instruction Slip (DIS) to the Depository Participant to debit units held in dematerialized mode for delivery to the Clearing Corporation during redemption.

Answer: E

Explanation:
SEBI has advised that pooling of funds/units by stock brokers shall be discontinued. However, for redemption of units held in dematerialized mode, the practice of issuance of Delivery Instruction Slip ('DIS') (physical or electronic) to the Depository Participant to debit the units for delivery to clearing corporation may continue.

NEW QUESTION # 30
When a company announces a Bonus Issue in the ratio of A:B, specific adjustments are made to the Strike Price, Market Lot, and Position of Equity F&O contracts. Which of the following formulas correctly represents the Adjustment Factor used for these calculations?

A. (A * B) / (A + B)
B. (A + B) / B
C. A / (A + B)
D. (A - B) / B
E. B / (A + B)

Answer: B

Explanation:
For a Bonus Issue with ratio A:B, the Adjustment factor is calculated as (A+B)/B. For example, for a 1:1 bonus, A= 1, B=1, Factor = (1+1)/1 = 2. This factor is then used to divide the old strike price and multiply the old market lot/position.

NEW QUESTION # 31
Select the correct statements regarding the regulations governing the modification of Client Codes and Custodial Participant (CP) Codes for trades executed on Indian Stock Exchanges. (Select all that apply)

A. Shifting of trades to the 'error account' of the broker is not treated as modification of client code, provided the trades are subsequently liquidated.
B. Stock Exchanges may allow modifications of client codes of non-institutional trades only to rectify a genuine error in entry of client code.
C. Proprietary trades can be modified as client trades and vice versa if the request is made within 45 minutes of trade execution.
D. Members can modify the Custodial Participant (CP) Code on the T+1 day until 11 AM.
E. Modification between client codes of two unrelated institutional clients will be subject to penalty.

Answer: B,E

Explanation:
Statement A is correct (Source: Section 3.2.4). Statement C is correct as modification between unrelated institutional clients attracts penalty. Statement B is incorrect; Proprietary trades cannot be modified as client trades. Statement D is incorrect; CP code modification is allowed on the trade day (T day) up to 4:15 pm (Source: Section 5.6.1 Statement E is incorrect in the context of 'not treated as modification' without conditions; the text says shifting to error account would not be treated as modification *provided* trades are liquidated and not shifted to another code.

NEW QUESTION # 32
Which of the following statements correctly describe the logic for blocking margins from collateral for different types of trades under the client collateral segregation framework? (Select all that apply)

A. For a client trade, if TM proprietary collateral is insufficient, the residual margin is blocked from the collateral of other clients of the same TM.
B. Margins based on trades from the proprietary account of the CM are blocked from the proprietary collateral of the CM only.
C. For a trade from a client account, if client collateral is insufficient, the residual margin is blocked from the TM proprietary collateral.
D. If a CM'S proprietary collateral is insufficient for a TM's proprietary trade, the CC utilizes the Core SGF immediately.
E. For a trade from the proprietary account of a TM, margin is first blocked from the TM proprietary collateral, and if insufficient, from the CM proprietary collateral.

Answer: B,C,E

Explanation:
Statement A is correct: Client trade margin logic is Client Collateral -> TM Prop -> CM Prop. Statement B is correct: TM Prop trade margin logic is TM Prop CM Prop. Statement C is correct: CM Prop trade margin logic is CM Prop only. Statement D is incorrect because client collateral is segregated and cannot be used for other clients or prop trades. Statement E is incorrect as it refers to the default waterfall, not the initial blocking logic.

NEW QUESTION # 33
For which specific category of clients is the 'Block Mechanism' in the demat account for sale transactions explicitly applicable?

A. Corporate clients trading through a proprietary account of the Trading Member.
B. Non-Resident Indians (NRIs) dealing through a Portfolio Investment Scheme (PIS).
C. High Net Worth Individuals (HNIs) trading in the F&O segment.
D. Retail investors using the Application Supported by Blocked Amount (ASBA) facility.
E. Clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.

Answer: E

Explanation:
The source explicitly states that the block mechanism shall not be applicable to clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.

NEW QUESTION # 34
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