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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Topic 1: 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
          Topic 2: Securities Market Operations- Trading process
          • 1. Trade confirmation and reporting
            • 2. Order execution and trade lifecycle
              - Market participants and structure
              • 1. Roles of brokers, exchanges, and investors
                • 2. Order types and trading mechanism basics
                  Topic 3: Clearing and Settlement- Settlement systems
                  • 1. Margining and risk adjustments
                    • 2. T+1/T+2 settlement cycles
                      - Clearing mechanisms
                      • 1. Netting and settlement obligations
                        • 2. Clearing corporations and counterparties
                          Topic 4: Risk Management in Securities Markets- Market and operational risk
                          • 1. Types of financial risks
                            • 2. Operational risk controls
                              - Risk mitigation systems
                              • 1. Surveillance and compliance mechanisms
                                • 2. Margins and collateral systems

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q161-Q166):

                                  NEW QUESTION # 161
                                  Which of the following statements accurately describes the currency and jurisdictional nature of an International Financial Services Centre (IFSC) in India?

                                  Answer: C

                                  Explanation:
                                  An IFSC is defined as a jurisdiction that provides world-class financial services to non-residents and residents (to the extent permissible under current regulations) in a currency other than the domestic currency (Indian rupee) of the location where the IFSC is located.


                                  NEW QUESTION # 162
                                  Under Section 18A of the Securities Contracts (Regulation) Act, 1956, contracts in derivatives are considered legal and valid only if they satisfy specific conditions. Which of the following is a mandatory condition for such validity?

                                  Answer: B

                                  Explanation:
                                  Section 18A of the SCRA provides that contracts in derivatives shall be legal and valid if they are traded on a recognized stock exchange and settled on the clearing house of the recognized stock exchange, in accordance with the rules and bye-laws of such stock exchanges.


                                  NEW QUESTION # 163
                                  When a corporate action adjustment (such as a bonus ratio of 3:7) results in fractions, a specific methodology is adopted to minimize fraction settlements. How are the Strike Price and Market Lot rounded off in this process?

                                  Answer: E

                                  Explanation:
                                  With a view to minimizing fraction settlements, the methodology adopted includes carrying out rounding off for the Strike Price to the nearest tick size and Market Lot to the nearest integer.


                                  NEW QUESTION # 164
                                  Regarding the handling of 'Funded Stocks' purchased under the Margin Trading Facility (MTF), which of the following operational procedures is mandated for the Stock Broker (Trading Member)?

                                  Answer: B

                                  Explanation:
                                  Funded stocks held by the TMICM under the margin trading facility shall be held by the TM/CM only by way of pledge. Such funded stocks shall be transferred to respective client's demat account followed by creation of an auto-pledge (i.e., without the requirement of a specific instruction from the client) with suitable reason, in favor of 'Client Securities under Margin Funding Account'.


                                  NEW QUESTION # 165
                                  A Trading Member (TM) has the following positions in a specific stock futures contract at the end of a trading day:
                                  Proprietary Account: Buy 2000, Sell 1500
                                  Client A: Buy 1000, Sell 1200
                                  Client B: Buy 500, Sell 100
                                  Based on the methodology for determining the open positions of clearing members in the derivatives segment, what is the TM's 'Open Position' for this contract?

                                  Answer: C

                                  Explanation:
                                  A trading member's open position is arrived at by summing up his proprietary and client's open positions. Proprietary positions are calculated on a net basis (Buy - Sell). Client positions are netted at the client level (contract level) and then added up across clients (without netting between clients).
                                  Proprietary Net: 2000 - 1500 = +500 (Long).
                                  ClientA Net: 1000 - 1200 = -200 (Short).
                                  Client B Net: 500 - 100 = +400 (Long).
                                  TM Open Position = Proprietary Open Position (500) + Client Open Long (400) + Client Open Short (200) = 1100 contracts.


                                  NEW QUESTION # 166
                                  ......

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