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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Securities Market Operations	- Trading process 1. Trade confirmation and reporting 2. Order execution and trade lifecycle - Market participants and structure 1. Order types and trading mechanism basics 2. Roles of brokers, exchanges, and investors
Clearing and Settlement	- Clearing mechanisms 1. Netting and settlement obligations 2. Clearing corporations and counterparties - Settlement systems 1. Margining and risk adjustments 2. T+1/T+2 settlement cycles
Risk Management in Securities Markets	- Market and operational risk 1. Operational risk controls 2. Types of financial risks - Risk mitigation systems 1. Surveillance and compliance mechanisms 2. Margins and collateral systems
Depository Operations	- Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles - Corporate actions 1. Dividends, bonuses, splits 2. Record dates and entitlement processing

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q272-Q277):

NEW QUESTION # 272
Which of the following statements accurately describe the settlement mechanisms and schedules in the Indian Securities Market?
(Select all that apply)

A. In Cash Settlement of derivatives, counterparties exchange the underlying physical asset upon expiry.
B. Equity Cash market trades executed on T day are settled on T+1 day.
C. Funds pay-in for the T+1 settlement cycle in the Cash Market must occur by 11 AM on T+1 day.
D. The final settlement of Currency Derivatives occurs on a T+1 basis.
E. Exchange-traded equity derivatives contracts on Indices are cash-settled.

Answer: B,C,E

Explanation:
Statement A is correct (T+1 rolling settlement). Statement C is correct (Pay-in upto 11:00 AM on T+1 Statement E is correct (Indices are cash-settled). Statement B is incorrect because Cash Settlement involves exchange of price differentials, not physical assets. Statement D is incorrect because the final settlement of Currency Derivatives occurs on a T+2 basis.

NEW QUESTION # 273
A Trading Member appointed as a syndicate member participates in the book building process for an IPO. Regarding the lifecycle and management of offers (bids) entered into the Stock Exchange system, which of the following statements accurately describes the operational parameters?

A. Trading Members can modify or cancel all offers placed in the system from the start till the last day of the book-building process.
B. Once entered and numbered, offers cannot be modified by the Trading Member; they must be cancelled and re-entered.
C. The system accepts offers only during the pre-open session of the Exchange on the issue open days.
D. Offers placed in the system are automatically purged at the end of each trading session if not confirmed by the Registrar.
E. Offers are batched and uploaded at the end of the day, receiving a collective time stamp for the batch.

Answer: A

Explanation:
As per the study material, 'All the offers placed in the system will remain outstanding till the last day of the book building process. Trading Members can modify/cancel all the offers placed in the system from the start till the last day of the book-building process.' Offers are individually numbered and time-stamped as and when received.

NEW QUESTION # 274
Identify the correct timeline for the 'Auction Pay-in' and 'Auction Pay-out' of securities and funds in the context of the T+1 rolling settlement cycle.

A. Auction Pay-in: T+3; Auction Pay-out: T+3
B. Auction Pay-in: T+2 (Subsequent day); Auction Pay-out: T+2 (Same day)
C. Auction Pay-in: T+1 (After auction session); Auction Pay-out: T+1 (End of day)
D. Auction Pay-in: T+2; Auction Pay-out: T+3
E. Auction Pay-in: T+1 (Evening); Auction Pay-out: T+2 (Morning)

Answer: B

Explanation:
The auction for undelivered quantities is conducted on the settlement day (T+1 The members are required to deliver the shares (Auction Pay-in) to the clearing corporation on or before the auction pay-in day, i.e., the subsequent day (T+2). Pay-out of auction shares and funds is also done on the same day (T+2).

NEW QUESTION # 275
A Trading Member executes trades in both T+1 and T+0 settlement cycles for the same security on the same day. Which of the following statements correctly describes the netting of obligations between these two segments?

A. There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycle.
B. Sell obligations in T+0 are netted against Buy obligations in T+1 to reduce margin requirements.
C. Funds are netted across segments, but securities are settled separately.
D. Obligations are netted at the client level but not at the member level.
E. Netting is permitted only if the member opts for the 'Unified Settlement' facility.

Answer: A

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

NEW QUESTION # 276
A purchaser of securities wishes to streamline the process of receiving securities into their demat account. What are the permissible modes for a client to handle receipt instructions with their Depository Participant (DP)?

A. The client can give a one-time standing instruction to the DP for receiving securities, or choose to issue separate receipt instructions for each purchase.
B. Standing instructions are only valid for government securities and not for equity shares.
C. The client must mandatorily issue a separate physical receipt instruction for every single trade.
D. The client must grant a Power of Attorney to the Clearing Corporation to auto-credit securities.
E. Receipt instructions are not required at all as the Clearing Corporation has a unilateral right to credit any account.

Answer: A

Explanation:
A purchaser of securities can give a one-time standing instruction to his DP for receiving securities in his account. This standing instruction can be given at the time of opening of account or later. Alternatively, the client may choose to issue separate receipt instruction to his DP every time the client makes any purchase of securities.

NEW QUESTION # 277
......

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