NISM-Series-VII Exam Pass Guide - NISM-Series-VII Reliable Exam Blueprint

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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Quiz NISM - NISM-Series-VII - Updated NISM Series VII - Securities Operations and Risk Management Certification Exam Pass Guide

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q117-Q122):

NEW QUESTION # 117
Identify the financial instrument described by the following features: It is a rupee-denominated bond issued outside India by Indian entities to raise money in local currency from foreign investors.

A. American Depository Receipt (ADR)
B. Masala Bond
C. Global Depository Receipt (GDR)
D. Foreign Currency Convertible Bond (FCCB)
E. External Commercial Borrowing (ECB)

Answer: B

Explanation:
Masala Bonds are rupee-denominated bonds issued outside India by Indian entities. They are debt instruments which help to raise money in local currency from foreign investors,.

NEW QUESTION # 118
According to the SEBI (International Financial Services Centres) Guidelines, 2015, which of the following criteria must a 'Person resident in India' satisfy to deal in securities listed in the IFSC?

A. They must invest only through a Foreign Portfolio Investor (FPI) registered in the IFSC.
B. They must be a High Net-worth Individual (HNI) with a minimum net worth of INR 5 Crore.
C. They are restricted to investing solely in Debt Securities issued by eligible issuers.
D. They are eligible under FEMA to invest funds offshore, to the extent allowed under the Liberalized Remittance Scheme (LRS).
E. They must represent a corporate body incorporated in India with a minimum turnover of INR 100 Crore.

Answer: D

Explanation:
As per the SEBI (International Financial Services Centres) Guidelines, 2015, one of the categories of persons eligible to deal in securities listed in IFSC is a 'person resident in India who is eligible under FEMA, to invest funds offshore, to the extent allowed under the Liberalized Remittance Scheme of Reserve Bank of India, subject to a minimum investment as specified by the Board from time to time'.

NEW QUESTION # 119
Which of the following data fields must match between the transfer instruction and the Clearing Corporation's obligation data for a Pay-In instruction to be considered a 'Matched Instruction' and subsequently executed? (Select all that apply)

A. CM ID (Clearing Member ID)
B. ISIN (International Securities Identification Number)
C. Client's Bank Account Number
D. UCC (Unique Client Code)
E. TM ID (Trading Member ID)

Answer: A,B,D,E

Explanation:
The text states that in case of matching of all details like 'UCC, TM ID, CM ID, ISIN, quantity, settlement details etc.' of the transfer instruction with the obligation data, the instruction shall be carried out. The Client's Bank Account Number is not mentioned as a validation parameter for securities pay-in.

NEW QUESTION # 120
If a selling broker fails to deliver securities, the Clearing Corporation conducts an auction. If this auction remains unresolved because there are no sellers (Auction Fail), the transaction is subject to a 'Close out'. How is the close-out price calculated to compensate the buyer in such a scenario?

A. At the standard valuation price determined by the Clearing Corporation on the T+1 pay-in day.
B. At the closing price of the securities on the auction day plus a fixed penalty of 5%.
C. At the highest price recorded on the exchange on the trade day only, irrespective of subsequent price movements.
D. At the average weighted trade price of the security during the last 5 trading sessions plus brokerage and statutory levies.
E. At the highest price prevailing across the exchange from the day of trading up to the auction day OR 20% above the official closing price on the auction day, whichever is higher.

Answer: E

Explanation:
According to the close-out procedure, if on the auction day there are no sellers, the Clearing Corporation carries out a 'Close out'. In this process, the buyer is compensated by paying the value of the short delivered security at the 'highest price prevailing across the stock exchange from the day of trading till the auction/close out day or 20% above the official closing price on the auction day, whichever is higher'.

NEW QUESTION # 121
In the case of a **Demerger** where the conditions for re-introducing derivative contracts on the post-restructured company are met, what happens to the *existing* derivative contracts on the pre-restructured company?

A. All existing contracts of the security shall be expired on the last cum date.
B. They continue to trade with adjusted strike prices until the original expiry date.
C. They are suspended for 3 days and re-listed with new lot sizes on the ex-date.
D. They are automatically converted into contracts of the resultant demerged entity based on the demerger ratio.
E. They are cash-settled immediately at the average price of the last 6 months.

Answer: A

Explanation:
If the conditions are satisfied dealing with existing derivative contracts on the pre-restructured company, the course of action is that all existing contracts of the security shall be expired on the last cum date.

NEW QUESTION # 122
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