NISM-Series-VII Valid Exam Camp & Reliable NISM-Series-VII Test Topics

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q55-Q60):

NEW QUESTION # 55
What is the primary objective of the research reports (Fundamental, Stock, Sector, etc.) regularly brought out by stock brokers?

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

Answer: C

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

NEW QUESTION # 56
Regarding 'Market Makers' in the Indian securities market, which of the following statements regarding their mandatory obligations is correct?

A. Market makers are required to provide only buy quotes to ensure exit options for investors
B. Market making is restricted to the derivatives segment only
C. Market making has been made mandatory in respect of all scrips listed and traded on SME Exchanges
D. Market makers are appointed solely by SEBI and not by the Exchanges
E. Market making is voluntary for all scrips listed on Small and Medium Enterprise (SME) Exchanges

Answer: C

Explanation:
While market making operates under guidelines, for Small and Medium Enterprise (SME) Exchanges, market making has been made mandatory in respect of all scrips listed and traded on the SME Exchange. Their main responsibility is to provide two-way (buy and sell) quotes.

NEW QUESTION # 57
Under the Online Dispute Resolution (ODR) framework, if a Market Participant wishes to initiate dispute resolution against an investor/client through the ODR Portal, which of the following procedural pre-requisites must be strictly fulfilled?

A. The Market Participant must give due notice of at least 15 calendar days to the investor/client for resolution of the dispute.
B. The Market Participant must wait for a mandatory cooling-off period of 60 days from the date of the transaction.
C. The Market Participant can only initiate ODR if the claim value exceeds Rs. 10 Lakhs.
D. The Market Participant must obtain a 'No Objection Certificate' from SEBI.
E. The Market Participant must deposit 50% of the disputed amount with the Stock Exchange.

Answer: A

Explanation:
According to the source, 'The concerned Market Participant may also initiate dispute resolution through the ODR Portal after having given due notice of at least 15 calendar days to the investor/client for resolution of the dispute which has not been satisfactorily resolved between them'.

NEW QUESTION # 58
Entities operating in the IFSC at GIFT City are recognized as non-resident entities under FEMA regulations. Which combination of fiscal incentives is explicitly available to these entities?

A. Exemption from GST only.
B. Waiver of Import Duty on Gold and Silver only.
C. Exemption from Security Transaction Tax (STT), Commodity Transaction Tax (CT T), Dividend Distribution Tax (DDT), and Capital Gains waiver.
D. Rebate on Corporate Tax for the first 2 years only.
E. Exemption from Stamp Duty and Registration Fees only.

Answer: C

Explanation:
The IFSC at GIFT, Gandhinagar is a deemed foreign territory where entities are recognized as non-resident entities under FEMA regulations. The benefits provided include exemptions from security transaction tax (STT), commodity transaction tax, dividend distribution tax, capital gains waiver, and no income tax.

NEW QUESTION # 59
To participate in the trading of mutual fund units through the stock exchange trading platform, a trading member must fulfill specific criteri a. Which of the following combinations accurately represents the mandatory requirements for a trading member to place orders for a specific Mutual Fund Company?

A. Register directly with SEBI as an Investment Adviser, hold a valid ARN, and execute a Service Level Agreement with the Clearing Corporation.
B. Obtain a specific 'MF-Trading' license from the Stock Exchange, maintain a minimum net worth of Rs. 50 Lakhs, and hold a valid ARN.
C. Hold an AMFI Registration Number (ARN), pass the relevant NISM certification examination, and register as a distributor with the specific Mutual Fund Company.
D. Hold a valid SEBI Registration as a Portfolio Manager, pass the NISM Series-V-A examination, and register with the Association of Mutual Funds in India (AMFI).
E. Be a registered Depository Participant, hold a valid ARN, and have a dedicated Mutual Fund desk with at least two certified employees.

Answer: C

Explanation:
The trading members who are AMFI Registration Number (ARN) holders and have passed the NISM certification examination are permitted to participate in the trading of the mutual funds units through the exchange trading platform. Further, eligible members would have to register as distributor with the mutual fund company. Hence, eligible members would be able to place orders only in respect of Mutual Fund Companies where they have registered as distributor.

NEW QUESTION # 60
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