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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q144-Q149):

NEW QUESTION # 144
In the context of the securities market structure, identifying the correct classification of an issue is critical for regulatory compliance. If an issuer raises resources by issuing shares to a select group of persons rather than the general public, how is this issuance technically classified?

A. Follow on Public Offer (FPO)
B. Bonus Issue
C. Private Placement
D. Rights Issue
E. Initial Public Offer (IPO)

Answer: C

Explanation:
According to the source, resources in the primary market can be raised through a public issue or private placement. If the issue is made to a select group of people, it is termed as a Private Placement. A public issue is when anybody and everybody can subscribe. A Rights Issue is for existing shareholders, and a Bonus issue is without cost involved.

NEW QUESTION # 145
In the context of the settlement of running accounts for funds, specific rules apply to clients who have been inactive. If a client has a credit balance but has **not executed any transaction in the last 30 calendar days**, how must the Trading Member (TM) handle the settlement?

A. The TM must return the entire credit balance on the upcoming settlement date of the monthly running account settlement cycle, irrespective of the client's preference.
B. The TM can adjust this credit balance against the margin obligations of other clients in the same family group.
C. The TM is required to obtain a fresh running account authorization from the client to retain the funds further.
D. The TM must transfer the funds to the Investor Protection Fund (IPF) immediately after the 30th day.
E. The TM can continue to retain the funds if the client has opted for a quarterly settlement cycle.

Answer: A

Explanation:
For clients having a credit balance who have not done any transaction in the 30 calendar days since the last transaction, the entire credit balance shall be returned to the client by the TM on the upcoming settlement dates of the monthly running account settlement cycle (irrespective of the settlement cycle preferred by the client).

NEW QUESTION # 146
With the implementation of direct pay-out of securities to client accounts by Clearing Corporations, what is the revised timing for the pay- out of securities in the T+1 rolling settlement cycle?

A. 9:00 AM on T+2 day
B. 1:30 PM on T+1 day
C. 10:30 AM on T+1 day
D. End of Day (EOD) on T day
E. 3:30 PM on T+1 day

Answer: E

Explanation:
SEBI has advised Clearing Corporations to facilitate the direct credit of pay-out securities to the respective client's demat account. As a consequence, the timing of the payout of securities shall be revised from 1:30 PM to 3:30 PM.

NEW QUESTION # 147
A stock broker executes multiple trades for a client throughout the day in various securities. According to the clearing process regarding the balancing of client accounts within the broker's firm, how is the final obligation handled?

A. The broker must segregate buy and sell transactions and settle them separately without offsetting.
B. At the end of the day, the position of each client is netted against all his transactions and the final pay-in/pay-out is carried out.
C. Client accounts are balanced weekly to determine the net obligation for the settlement cycle.
D. Every trade is settled gross with the clearing corporation, and netting is strictly prohibited within the broker's books.
E. Netting is allowed only for institutional clients, while retail client accounts must be settled on a trade-to-trade basis.

Answer: B

Explanation:
The source states: 'The stock brokers are allowed to net the clients account within the firm. At the end of the day, the position of each client is netted against all his transactions and the final pay-in/pay-out of securities/funds is carried out through clearing banks and depository participants.'

NEW QUESTION # 148
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. 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.
B. Holding non-demat units in a 'Client Unpaid Securities Account' if the client defaults on the subscription payment.
C. Crediting subscription units to the broker's pool account for reconciliation before transferring to the client.
D. Routing funds for subscription through the broker's clearing bank account for clients availing margin trading facilities.
E. Pooling of redemption proceeds in the broker's settlement account for deduction of statutory levies before payout to the client.

Answer: A

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 # 149
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