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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q170-Q175):

NEW QUESTION # 170
Which of the following items are mandated contributions by the Stock Exchange to the Investor Protection Fund (IPF) according to SEBI guidelines? (Select all that apply)

A. 1% of the listing fees received, on a quarterly basis.
B. Penalty collected from Trading Members for deficiency in modification of client code.
C. At least 20% of the listing fees received.
D. Penalties collected from listed companies for non-compliance with LODR Regulations.
E. 100% of the interest earned on the 1% security deposit kept by issuer companies (immediately on refund).

Answer: A,B,D,E

Explanation:
Option A (1 % listing fees), Option B (LODR penalties), Option D (Interest on security deposit), and Option E (Client code modification penalties) are all listed as contributions to the IPF in the source text,. Option C (20% of listing fees) is incorrect for IPF; it applies to the Investor services Fund OSF).

NEW QUESTION # 171
If a client submits a transfer instruction where the quantity is *less* than the net delivery obligation provided by the Clearing Corporation, what is the outcome of the validation process by the Depositories?

A. The instruction is rejected because it does not fully meet the obligation.
B. The instruction is routed to the Clearing Member for manual approval before processing.
C. The instruction is carried out by the depositories.
D. The instruction is processed, but a penalty is automatically levied on the client for short delivery.
E. The instruction is held in abeyance until a supplementary instruction for the balance quantity is received.

Answer: C

Explanation:
As per the validation logic: 'If the quantity in instruction is less than the obligation provided by CC, then the instruction will be carried out by the depositories.'

NEW QUESTION # 172
Under the Online Dispute Resolution (ODR) framework, if a Market Participant wishes to initiate dispute resolution against an investor/client through the ODR Portal, which of the following procedural pre-requisites must be strictly fulfilled?

A. The Market Participant can only initiate ODR if the claim value exceeds Rs. 10 Lakhs.
B. The Market Participant must wait for a mandatory cooling-off period of 60 days from the date of the transaction.
C. The Market Participant must give due notice of at least 15 calendar days to the investor/client for resolution of the dispute.
D. The Market Participant must deposit 50% of the disputed amount with the Stock Exchange.
E. The Market Participant must obtain a 'No Objection Certificate' from SEBI.

Answer: C

Explanation:
According to the source, 'The concerned Market Participant may also initiate dispute resolution through the ODR Portal after having given due notice of at least 15 calendar days to the investor/client for resolution of the dispute which has not been satisfactorily resolved between them'.

NEW QUESTION # 173
Cash Management Bills (CMBs) are issued by the Government of India to fund temporary cash flow mismatches. Which of the following correctly identifies their maturity characteristics and trading platform?

A. Maturities up to 364 days; Traded on RFQ Platform
B. Maturities of exactly 91 days; Traded on NDS-CALL platform
C. Maturities between 91 and 182 days; Traded on CROMS
D. Maturities less than 14 days; Traded on OTC market only
E. Maturities less than 91 days; Traded on NDS-OM platform

Answer: E

Explanation:
Cash Management Bills (CMBs) have maturities less than 91 days. They are issued to absorb excess liquidity and fund temporary mismatches. Like Treasury bills, they are traded on the NDS-OM platform along with Government Securities.

NEW QUESTION # 174
SEBI has formalized a Risk Based Supervision (RBS) model for market intermediaries. Which of the following sequences correctly identifies the four distinct steps of this supervision model?

A. Risk Identification -> Risk Analysis -> Risk Mitigation -> Risk Reporting
B. Client Profiling -> Transaction Monitoring Risk Rating -> Surveillance Action
C. Internal Audit External Audit -> Risk Classification -> Penalty Determination
D. Risk Assessment -> Assigning Risk & Impact Rating -> Determining Supervisory Risk Rating Score -> Supervisory Approach
E. Data Collection -> Compliance Check -> Risk Scoring -> Inspection

Answer: D

Explanation:
The Risk Based Supervision model follows four distinct steps: a. Risk Assessment, b. Assigning Risk & Impact Rating, c. Determining Supervisory Risk Rating Score, and d. Supervisory Approach. This model divides entities into risk groups (very low to high) to determine the quantum of supervision.

NEW QUESTION # 175
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