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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Risk Management and Margining	18%	- Types of risks in securities operations - Margining systems and methodologies - Risk monitoring and control measures
Topic 2: Market Microstructure	12%	- Price discovery and market efficiency - Trading mechanisms and order types - Market indices and their calculation
Topic 3: Securities Market Overview	10%	- Market participants and their roles - Types of securities and products - Structure and segments of Indian securities market
Topic 4: Technology in Securities Markets	8%	- Data security and business continuity - Emerging technologies and their impact - Systems for trading, clearing and settlement
Topic 5: Trading Operations	15%	- Client onboarding and KYC norms - Front office functions and processes - Order management and trade execution
Topic 6: Investor Protection	7%	- Investor rights and grievances redressal - Mechanisms for dispute resolution - Investor education and awareness initiatives
Topic 7: Clearing and Settlement	15%	- Settlement cycle and mechanisms - Clearing process and roles of clearing corporations - Delivery versus payment and settlement guarantee
Topic 8: Regulatory Framework	15%	- SEBI Act, Rules and Regulations - Compliance requirements for intermediaries - Code of conduct and ethical practices

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最新的 National Institute of Securities Markets NISM-Series-VII 免費考試真題 (Q150-Q155):

問題 #150
Why are Institutional Investors (including Foreign Portfolio Investors) explicitly excluded from the mechanism of Net Settlement of cash segment and physical settlement of F&O segment upon expiry?

A. Because their trading volumes are too high to be accommodated in a net settlement process.
B. Because the extant regulatory framework specifies that all transactions by institutional investors in the cash market should be backed by delivery.
C. Because they trade through Custodians who do not have clearing rights in the F&O segment.
D. Because they are subject to different tax treaties which prevent segment-wise netting.
E. Because they are not required to pay margins in the F&O segment.

答案：B

解題說明：
Netting of settlement obligations of cash segment and physical settlement of F&O segment shall not be available for the institutional investors (including all categories of FPIs) since the extant regulatory framework specifies that all transactions by the institutional investors (including all categories of Foreign Portfolio Investors) in cash market should be backed by delivery.

問題 #151
What is the primary objective of the research reports (Fundamental, Stock, Sector, etc.) regularly brought out by stock brokers?

A. To fulfill the mandatory requirement of the Companies Act, 2013.
B. To generate additional brokerage by encouraging excessive churning of portfolios.
C. To help the investor make informed investment decisions.
D. To replace the role of the Investment Adviser completely.
E. To manipulate the market price of illiquid securities.

答案：C

解題說明：
The text explicitly states: 'These reports are aimed at * *helping the investor make informed investment decisions**.'

問題 #152
Regarding the 'Default Waterfall' in the context of the Net Settlement mechanism for Cash and F&O segments, which of the following statements is correct?

A. Clearing Corporations continue to maintain segment-wise default waterfalls, and losses are computed on the basis of segment-wise obligations on a pro-rata basis.
B. The Core Settlement Guarantee Fund (SGF) of the F&O segment is utilized first for any default arising from the net settlement obligation.
C. The default waterfall is triggered only after liquidating the defaulting member's proprietary assets across all exchanges.
D. Clearing Corporations create a unified single default waterfall covering both segments to match the merged settlement.
E. Default losses are covered solely by the Investor Protection Fund (IPF) in the case of net settlement defaults.

答案：A

解題說明：
Clearing Corporations (CCs) shall continue to settle obligations on a net basis at the CM level. Further, CCs shall continue to maintain segment-wise default waterfalls, regardless of a single settlement across segments. The losses, if any, in case of default of a CM to CC shall be computed on the basis of the segment-wise obligation of CM to CC, on a pro-rata basis.

問題 #153
In the context of the clearing and settlement ecosystem, the Clearing Corporation assumes the role of a legal counterparty to all trades executed on the Stock Exchange. What is the specific legal term for this process where the original contract between the buyer and seller is replaced by two new contracts with the Clearing Corporation?

A. Adjudication
B. Subrogation
C. Novation
D. Indemnification
E. Arbitration

答案：C

解題說明：
The process is called novation. Through novation, the Clearing Corporation becomes the buyer to every seller and the seller to every buyer, thereby acting as a legal counterparty to all trades. This ensures that if there is a default by either party, the Clearing Corporation is responsible for ensuring settlement.

問題 #154
Stock Exchanges are required to maintain Investor Service Centres (ISCs) to assist investors. Which of the following facilities is mandatorily required to be provided at all ISCS according to SEBI guidelines?

A. A dedicated legal aid clinic with free lawyers for filing civil suits.
B. A library containing all annual reports of listed companies for the last 10 years.
C. A direct hotline to the Ministry of Finance.
D. A banking counter for immediate disbursement of Investor Protection Fund claims.
E. Arbitration and appellate arbitration facility including video-calling facility.

答案：E

解題說明：
SEBI has advised Exchanges to provide certain minimum facilities in ISCs, which includes arbitration and appellate arbitration facility at all ISCS including video-calling facility to investors for attending their online arbitration or Grievance Redressal meetings.

問題 #155
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