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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q41-Q46):

NEW QUESTION # 41
In the context of risk management for the T+0 settlement cycle, how are securities shortages handled if a selling member fails to deliver shares?

A. Security shortages are directly closed out at 10% above the highest price of the day across all exchanges for the T+0 market.
B. The trade is annulled, and the buyer is refunded the transaction amount without penalty.
C. By conducting an auction session on T+0 day at 2:30 PM.
D. By imposing a standard valuation debit of 20% above the closing price.
E. By conducting an auction session on T+1 day along with the regular market auction.

Answer: A

Explanation:
The source states that '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 T+0 market.'

NEW QUESTION # 42
According to the SEBI framework for 'Accredited Investors', which of the following combinations of financial criteria would render an Individual, HUF, or Family Trust eligible to be recognized as an Accredited Investor?

A. Net Worth of INR 8 Crore, out of which INR 2 Crore is in the form of financial assets.
B. Annual Income of INR 90 Lakhs and Net Worth of INR 10 Crore, out of which INR 3 Crore is in the form of financial assets.
C. Annual Income of INR 1.8 Crore and Net Worth of INR 3 Crore.
D. Net Worth of INR 6 Crore with no specific requirement on financial assets.
E. Annual Income of INR 1.2 Crore and Net Worth of INR 5.5 Crore, out of which INR 3 Crore is in the form of financial assets.

Answer: E

Explanation:
To be an Accredited Investor, an entity must meet one of the following criteria: (i) Annual Income >= INR 2 Crore; (ii) Net Worth INR 7.5 Crore (with at least INR 3.75 Crore in financial assets); or (iii) Annual Income >= INR 1 Crore + Net Worth >= INR 5 Crore (with at least INR 2.5 Crore in financial assets). Option C meets criterion (iii). Option A fails (Income < 2 Cr). Option B fails (Financial Assets < 3.75 Cr). Option D fails (Net Worth < 7.5 Cr and no financial asset proof). Option E fails (Income < 1 Cr and Financial Assets < 3.75 Cr for the Net Worth only criteria).

NEW QUESTION # 43
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 obtain a 'No Objection Certificate' from SEBI.
C. The Market Participant must deposit 50% of the disputed amount with the Stock Exchange.
D. The Market Participant must wait for a mandatory cooling-off period of 60 days from the date of the transaction.
E. The Market Participant must give due notice of at least 15 calendar days to the investor/client for resolution of the dispute.

Answer: E

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 # 44
Regarding the settlement timelines for Mutual Fund transactions executed on the Stock Exchange platform, which of the following statements accurately describes the funds pay-in requirement for subscription and the funds pay-out timeline for redemption?

A. Funds pay-in for subscription: T+2; Funds pay-out for redemption: T+3.
B. Funds pay-in for subscription: T+1 ; Funds pay-out for redemption: T+1 for all schemes.
C. Funds pay-in for subscription: T+0; Funds pay-out for redemption: T+0 for Liquid funds and T+2 for Equity funds.
D. Funds pay-in for subscription: T+1 ; Funds pay-out for redemption: T+2.
E. Funds pay-in for subscription: T+0; Funds pay-out for redemption: T+1 to T+7 depending on the scheme.

Answer: E

Explanation:
Funds pay-in for subscription are done on a T+0 day basis. The transfer of funds for redemption is carried out on a T+1 , T+2, T+3, T+4, T+5, T+6 and T+7 basis depending upon the category of scheme.

NEW QUESTION # 45
Stock brokers provide various types of research reports to assist investors. Specifically, what content is a 'Sector Research' report expected to cover to help investors in their decision-making process?

A. Details on how an industry is faring and whether current policies favour the industry.
B. A comprehensive list of all IPOs expected to hit the market in the next financial year.
C. Mathematical models for algorithmic trading strategies.
D. Confidential insider information regarding upcoming mergers and acquisitions.
E. Detailed technical analysis of stock price movements and volume data for specific scrips.

Answer: A

Explanation:
According to the text, * *Sector research includes details on how an industry is faring, whether current policies favour the industry, etc.", so that the choice of investing in a particular industry rests with the investor.

NEW QUESTION # 46
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