NISM-Series-VII Accurate Answers | Prep NISM-Series-VII Guide

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q255-Q260):

NEW QUESTION # 255
According to the framework for the Core Settlement Guarantee Fund (Core SGF), how is the Minimum Required Corpus (MRC) for a segment determined for the upcoming month?

A. It is fixed annually by SEBI based on the projected volume and turnover of the Clearing Corporation.
B. It is the simple average of the daily stress test losses of the preceding month, capped at 15% of the total open interest.
C. It is determined by the Risk Management Committee based on the highest single day loss observed in the last one year.
D. It is calculated as 25% of the liquid net worth of the Clearing Corporation plus the total Base Minimum Capital collected from members.
E. It is the higher of the average of all daily worst-case loss numbers determined from stress tests of the preceding month and the segment MRC as per the previous review.

Answer: E

Explanation:
The source specifies that the MRC shall be fixed for a month. By the 15th of every month, the CC reviews/determines the MRC for the next month based on daily stress tests of the preceding month. Specifically, the MRC for the next month shall be the 'higher of the average arrived at as (v) above [Average of all the daily worst case loss numbers] and the segment MRC as per previous review.'

NEW QUESTION # 256
The Money Market in India comprises various segments based on the tenor and type of instrument. Which of the following statements correctly describe the features of these segments/instruments? (Select all that apply)

A. Notice Money market involves lending and borrowing for a period between 2 days and 14 days.
B. Term Money market involves lending and borrowing for a period between 15 days and 1 year.
C. Call Money market is meant for overnight lending and borrowing.
D. Certificate of Deposits (CDs) issued by All India Financial Institutions can have a maturity period not less than 1 year and not exceeding 3 years.
E. Commercial Papers (CPs) can be issued for maturities exceeding 1 year.

Answer: A,B,C,D

Explanation:
Call Money is predominantly overnight. Notice Money is for 2-14 days. Term Money is for 15 days to 1 year. Certificate of Deposits (CDs) can be issued by All India Financial Institutions for a period not less than 1 year and not exceeding 3 years (Banks issue for up to 1 year). Commercial Papers (CPs) are issued for maturities between 7 days and one year; thus, option E is incorrect.

NEW QUESTION # 257
In the context of the 'SEBI Complaints Redress System (SCORES 2.0)', which of the following accurately describes the 'Review' mechanism available to a complainant who is dissatisfied with the resolution provided by the regulated entity?

A. Two levels of review: First by the 'Designated Body' and Second by SEBI.
B. A single-level review conducted directly by the Securities Appellate Tribunal (SAT).
C. A review by the Investor Service Centre of the nearest Stock Exchange within 30 days.
D. No review option is available; the complainant must approach the civil court immediately.
E. A mandatory arbitration process initiated automatically upon dissatisfaction.

Answer: A

Explanation:
SCORES 2.0 provides two levels of review: First review by the 'Designated Body' if the investor is dissatisfied with the resolution provided by the concerned regulated entity. Second review by SEBI if the investor is still dissatisfied after the first review.

NEW QUESTION # 258
Which of the following facilities are normally offered by a stock broker's outlet as part of their diversified services? (Select all that apply)

A. Mobile trading & Smart Order Routing (SOR)
B. Internet-based Online Trading (IBT)
C. Issuance of Indian Currency
D. Margin funding
E. Investment advice & Research reports

Answer: A,B,D,E

Explanation:
The text explicitly lists the following facilities offered by a stock broker's outlet: 'Investment advice & Research reports', 'Margin funding', 'Mobile trading & Smart Order Routing (SOR)', and 'Internet-based Online Trading (IBT)'. Option D is incorrect.

NEW QUESTION # 259
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. 3:30 PM on T+1 day
B. 9:00 AM on T+2 day
C. 10:30 AM on T+1 day
D. 1:30 PM on T+1 day
E. End of Day (EOD) on T day

Answer: A

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 # 260
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