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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Risk management 2. Settlement processing 3. Trade execution
Topic 2: Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Regulatory oversight 2. Investor protection
Topic 3: 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
Topic 4: Investor Grievance Redressal	- Process of investor grievances redressal 1. Procedures for handling complaints 2. Regulatory requirements
Topic 5: Indian Securities Market	- Overview of the Indian securities market 1. Different products traded 2. Various market participants and their roles
Topic 6: Risk Management	- Risk management in a securities broking firm 1. Identifying and mitigating risks 2. Compliance and control measures

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q261-Q266):

NEW QUESTION # 261
Which of the following statements accurately describe the regulatory and operational framework regarding Clearing Banks and Clearing Members? (Select all that apply)

A. Additional clearing accounts may be maintained for the specific purpose of enhancing collateral in the form of cash.
B. Every clearing member must maintain a separate and distinct primary clearing account for each segment.
C. Clearing Members must irrevocably authorize the Clearing Bank to allow the Clearing Corporation to access their accounts for debiting and crediting.
D. Clearing Banks are responsible for determining the final net settlement obligations of the Clearing Members.
E. Clearing Members are permitted to withdraw funds from their clearing accounts in favor of third-party beneficiaries.

Answer: A,B,C

Explanation:
Statement A is correct as members must maintain separate accounts for each segment. Statement C is correct regarding irrevocable authorization. Statement E is correct regarding additional accounts for collateral enhancement. Statement B is incorrect because withdrawals are allowed only in 'self-name'. Statement D is incorrect because the Clearing Corporation (not the bank) determines the obligations.

NEW QUESTION # 262
Various intermediaries play specific roles in the securities ecosystem. Which specific group of intermediaries is described as providing 'important infrastructure services' to both the primary and secondary markets?

A. Registrars and Transfer Agents, Custodians, and Depositories
B. Investment Advisors and Research Analysts
C. Foreign Portfolio Investors (FPls) and Mutual Funds
D. Merchant Bankers and Underwriters
E. Stock Brokers and Sub-brokers

Answer: A

Explanation:
The source specifically identifies Registrars and Transfer Agents, Custodians, and Depositories as capital market intermediaries which provide important infrastructure services to both the primary and secondary markets.

NEW QUESTION # 263
A transferee (buyer) in the depository system wishes to receive securities into their demat account. What is the operational requirement regarding 'Standing Instructions' (SI) for this process?

A. If 'Standing Instructions' are not given, the transferee must give separate Receipt Instructions each time to the DP to receive securities.
B. Standing Instructions are valid only for off-market transfers and not for market trades.
C. The SI functionality has been replaced entirely by the Demat Debit and Pledge Instruction (DDPI).
D. Standing Instructions are mandatory for all accounts; without them, the account remains inactive.
E. Standing Instructions allow the DP to debit the account without a Delivery Instruction Slip (DIS).

Answer: A

Explanation:
The transferee has to submit Receipt Instruction to receive securities into his account. However, for the convenience of investor, transferee can give 'Standing Instructions' (SI) to its DP for receiving in securities. If OSI' is not given, then the transferee has to give separate instructions each time for receiving the securities.

NEW QUESTION # 264
Besides the settlement of fund obligations, the distinct clearing bank account opened by a Clearing Member is mandated to be used for which of the following sets of transactions?

A. Disbursement of loans to clients and interest payments on overdraft facilities.
B. Payment of staff salaries, office maintenance, and proprietary trading losses.
C. Collection of dividends, payment of stamp duty to state governments, and GST payments.
D. Investment in mutual funds, IPO applications, and portfolio management services.
E. Payment of margins, release and enhancement of collateral, and payment of penal charges.

Answer: E

Explanation:
The clearing bank account is exclusively for clearing and settlement operations. Specifically, it is used for settlement of fund obligations, payment of margins, release and enhancement of collateral, Early Pay-ln (EPI) of funds, and penal charges.

NEW QUESTION # 265
In the context of Back Office Operations, specifically regarding 'Trade Enrichment', which of the following best describes the process that occurs automatically after trade execution to prepare for clearing and settlement?

A. The manual verification of the 'INST' Custodial Participant code against the clearing member's exposure limits.
B. The splitting of a single institutional order into multiple sub-accounts based on deal sheets provided by the front office.
C. The generation of a unique client code (IJCC) and mapping it to the client's PAN before the order is routed to the exchange.
D. The netting of buy and sell positions to determine the final open position for the purpose of margin calculation.
E. The automatic appending of brokerage rates, GST, stamp duty, and Securities Transaction Tax (STT) to the raw trade data.

Answer: E

Explanation:
Trade Enrichment is defined as the process performed automatically after each trade execution where additional information is included in the trade instruction. The back-office systems maintain masters relating to brokerage rates, GST, stamp duty, and STT charge tables. When trade data is uploaded, this information is appended to every trade to arrive at client-wise brokerage, obligations, and tax amounts.

NEW QUESTION # 266
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