2026 Trustable 100% Free NISM-Series-VII–100% Free Pass Exam | Study NISM Series VII - Securities Operations and Risk Management Certification Reference

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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Pass NISM-Series-VII Exam | High Pass-Rate NISM NISM-Series-VII: NISM Series VII - Securities Operations and Risk Management Certification

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q194-Q199):

NEW QUESTION # 194
In the context of 'Settlement of Account of Clients who have not traded in the last 30 days', how must a Trading Member (TM) handle a client's credit balance if the client has not executed any transaction for 30 calendar days?

A. The TM is allowed to retain funds up to Rs. 50,000 for administrative charges and return the rest.
B. The TM must obtain a fresh Running Account Authorization from the client to continue holding the funds.
C. The TM must return the entire credit balance to the client on the upcoming settlement dates of the monthly running account settlement cycle, irrespective of the client's preference.
D. The TM can continue to hold the funds until the next quarterly settlement date preferred by the client.
E. The TM must transfer the funds to the Investor Protection Fund (IPF) after 30 days of inactivity.

Answer: C

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

NEW QUESTION # 195
Regarding the operation of the 'Clearing Bank Account' maintained by a Clearing Member, which of the following operational restrictions is explicitly mandated to ensure the account is used exclusively for clearing and settlement operations?

A. Clearing members can deposit funds in any form but can withdraw funds from these accounts only in self-name.
B. Clearing members are prohibited from depositing proprietary funds into this account; only client funds are permitted.
C. The account must maintain a minimum balance equal to the Base Minimum Capital (BMC) at all times.
D. Funds can be deposited only via Demand Drafts and withdrawn only via electronic transfer.
E. Withdrawals are permitted only after obtaining a 'No Objection Certificate' from the Clearing Corporation for each transaction.

Answer: A

Explanation:
The source states: 'Clearing member can deposit fund in these accounts in any form but withdraw funds from these accounts only in self-name.' This ensures the account is used for its intended purpose of clearing and settlement.

NEW QUESTION # 196
Under the framework for 'Settlement of Account of Clients', specific provisions exist for clients who have not traded for a certain period. 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 of funds?

A. The TM must retain the funds until the next quarterly settlement date chosen by the client.
B. The TM can continue to maintain the running account if the credit balance is below ? 10,000.
C. The TM is permitted to transfer the funds to the Investor Protection Fund (IPF) if the client remains inactive for more than 30 days.
D. The TM must return the entire credit balance to the client on the upcoming settlement date of the monthly running account settlement cycle, irrespective of the client's preference for a quarterly cycle.
E. The TM must settle the account within 24 hours of the 30th day of inactivity.

Answer: D

Explanation:
According to SEBI circulars regarding clients who have not traded in the last 30 days: 'For the clients having credit balance, who have not done any transaction in the 30 calendar days... the entire credit balance of client shall be returned to the client by TM, on the upcoming settlement dates of monthly running account settlement cycle (irrespective of settlement cycle preferred by the client) as stipulated by stock exchanges.'

NEW QUESTION # 197
Under the framework for validation of instructions for Pay-In of securities, which of the following scenarios results in the immediate rejection of the transfer instruction by the Depositories?

A. When there are discrepancies in details like UCC, TM ID, CM ID, or ISIN between the instruction and the obligation data.
B. When the quantity in the instruction is less than the obligation provided by the Clearing Corporation.
C. When the quantity in the instruction is exactly equal to the obligation provided by the Clearing Corporation.
D. When the instruction is initiated by a Power of Attorney (POA) holder instead of the client directly.
E. When the instruction is received on T+1 day instead of T day.

Answer: A

Explanation:
The source states that under 'Unmatched Instruction': 'In case of discrepancies in details like UCC, TM ID, CM ID, ISIN etc., between instruction and obligation, such transfer instructions will be rejected by the depositories.'

NEW QUESTION # 198
To enable the validation of Pay-In instructions by Depositories, what is the specific role and timeline mandated for Clearing Corporations (CCs) in this process?

A. CCs must generate a physical delivery instruction slip for every client obligation by T+1 morning.
B. CCs shall transfer the securities from the client account to the pool account directly without Depository intervention.
C. CCs must validate the ISINs in the client account against the Exchange master list on T-1 day.
D. CCs shall provide client-wise net delivery obligations on T day to the depositories.
E. CCs must approve every individual transfer instruction manually before execution on the settlement day.

Answer: D

Explanation:
The process requires that 'CCs shall provide client - wise net delivery obligations on T day to the depositories.' The Depositories then use this data to validate the transfer instructions.

NEW QUESTION # 199
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