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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q185-Q190):

NEW QUESTION # 185
In the context of the modernization of services provided by brokers, how are research advice and recommendations increasingly being delivered to clients?

A. Only through the official website of the Stock Exchange.
B. Exclusively through physical contract notes sent via post.
C. Via recorded voice messages on landline telephones only.
D. Strictly through in-person meetings at the broker's branch office.
E. Through SMS on to the mobile phone.

Answer: E

Explanation:
The text states that advice and recommendations can be obtained as on to the mobile phone". It further notes, 'So, it is more online now.'

NEW QUESTION # 186
To calculate the Adjustment Factor for a **Rights Issue** in the Equity F&O segment, the 'Benefits per share (E)' must first be determined. Which formula correctly represents the calculation of 'E'?

Answer: B

Explanation:
In the context of Rights Issue adjustment, Benefits per share (E) is calculated using the formula: E = (P - S) * A1 (A + B), where P is the underlying close price on the last cum date, S is the issue price of the rights, A is the Rights Entitlement, and B is the Number of Existing shares.

NEW QUESTION # 187
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. The Core Settlement Guarantee Fund (SGF) of the F&O segment is utilized first for any default arising from the net settlement obligation.
B. Default losses are covered solely by the Investor Protection Fund (IPF) in the case of net settlement defaults.
C. 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.
D. The default waterfall is triggered only after liquidating the defaulting member's proprietary assets across all exchanges.
E. Clearing Corporations create a unified single default waterfall covering both segments to match the merged settlement.

Answer: C

Explanation:
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.

NEW QUESTION # 188
Regarding the netting of settlement obligations for a member trading in both T+1 and T+0 cycles, which of the following statements is operationally correct?

A. Securities delivered in T+0 pay-out can be immediately netted against T+1 pay-in obligations for the same day.
B. Obligations are netted across both cycles to reduce liquidity stress.
C. Netting is permitted only for funds, while securities obligations are kept separate.
D. Netting is allowed only if the member opts for the 'Unified Settlement' facility provided by the Clearing Corporation.
E. There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycles.

Answer: E

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

NEW QUESTION # 189
With the validation of instructions for Pay-In of securities from Client demat account to Member Pool Account, what action do Depositories take if the quantity in the transfer instruction is more than the obligation provided by the Clearing Corporation (CC)?

A. The instruction is partially processed by the depositories up to the matching obligation quantity.
B. The instruction is processed for the full quantity, and excess is returned by the Member.
C. The instruction is held in pending status until the Member confirms the additional quantity.
D. The instruction is completely rejected.
E. The instruction is processed only if the client provides a specific indemnity bond.

Answer: A

Explanation:
If the quantity in instruction is more than the obligation provided by CC, then the instruction will be partially processed by the depositories (i.e., upto the matching obligation quantity).

NEW QUESTION # 190
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