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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q42-Q47):

NEW QUESTION # 42
In the process of Broker Netting with the Clearing Corporation, what is the sequence of events regarding the determination of obligations?

A. List of transactions sent to member -> Multilateral netting -> Members informed of amount/securities to receive/pay.
B. Multilateral netting -> List of transactions sent to member -> Pay-in/Pay-out confirmation.
C. Bilateral netting between brokers -> Confirmation to CC -> Settlement.
D. Pay-in of funds Multilateral netting -> Pay-out of securities.
E. Gross settlement determination Netting within firm Multilateral netting.

Answer: A

Explanation:
The source describes the process: 'Every day, the clearing corporation sends the clearing member a list of all trading transactions made by him and his clients for the day. After this, clearing is performed by multilateral netting. Then the members are informed by the clearing corporation of the amount/securities to be received/paid by them to the other members.'

NEW QUESTION # 43
Which of the following statements accurately describe the process and components of 'Delivery Settlement' in the equity F&O segment?
(Select all that apply)

A. It considers all in-the-money option contracts which are exercised and assigned.
B. It considers all open futures positions after the close of trading on the expiry day.
C. It applies to Index Futures and Index Options.
D. The final deliverable/receivable positions at a clearing member are arrived at after netting the obligations of all clients/constituents clearing through them.
E. Delivery settlement is optional and can be cash settled if the client chooses.

Answer: A,B,D

Explanation:
Delivery Settlement applies to individual stock derivatives (not Index, which are cash settled). It considers all open futures positions after close of trading on expiry day and all in-the-money option contracts which are exercised and assigned. The final position at a clearing member is arrived at after netting the obligations of all clients/constituents/trading members clearing through the respective clearing member.

NEW QUESTION # 44
Which international capital market instrument issued by Indian companies is subscribed to by a non-resident in foreign currency and carries a fixed interest rate with a conversion feature?

A. External Commercial Borrowings (ECBs)
B. Foreign Currency Convertible Bonds (FCCBs)
C. Global Depository Receipts (GDRs)
D. Indian Depository Receipts (IDRs)
E. Masala Bonds

Answer: B

Explanation:
Foreign Currency Convertible Bonds (FCCBs) are bonds issued by Indian companies and subscribed to by a non-resident in foreign currency. They carry a fixed interest or coupon rate and are convertible into a certain number of ordinary shares at a predetermined price,.

NEW QUESTION # 45
Regarding the netting of settlement obligations for a member trading in both T+1 and T+0 cycles, which of the following statements is operationally correct?

A. Netting is permitted only for funds, while securities obligations are kept separate.
B. There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycles.
C. Securities delivered in T+0 pay-out can be immediately netted against T+1 pay-in obligations for the same day.
D. Obligations are netted across both cycles to reduce liquidity stress.
E. Netting is allowed only if the member opts for the 'Unified Settlement' facility provided by the Clearing Corporation.

Answer: B

Explanation:
The operational guidelines for the T+0 rolling settlement cycle explicitly state: 'There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycle.'

NEW QUESTION # 46
Who is the 'Relevant Authority' empowered to decide on actions such as disciplinary actions or withdrawal of trading facility when a clearing member fails to discharge settlement dues?

A. The Securities Appellate Tribunal (SAT)
B. The Association of Mutual Funds in India (AMFI)
C. The Depository Participant (DP)
D. The Relevant Authority (of the Exchange/Clearing Agency)
E. The Reserve Bank of India (RBI)

Answer: D

Explanation:
The text states that the failure shall render the member liable for actions 'as may be decided by the Relevant Authority.'

NEW QUESTION # 47
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