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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Topic 1: Depository Operations- Corporate actions
  • 1. Record dates and entitlement processing
    • 2. Dividends, bonuses, splits
      - Demat account framework
      • 1. NSDL and CDSL roles
        • 2. Account opening and maintenance
          Topic 2: Securities Market Operations- Trading process
          • 1. Trade confirmation and reporting
            • 2. Order execution and trade lifecycle
              - Market participants and structure
              • 1. Order types and trading mechanism basics
                • 2. Roles of brokers, exchanges, and investors
                  Topic 3: Clearing and Settlement- Clearing mechanisms
                  • 1. Netting and settlement obligations
                    • 2. Clearing corporations and counterparties
                      - Settlement systems
                      • 1. T+1/T+2 settlement cycles
                        • 2. Margining and risk adjustments
                          Topic 4: Risk Management in Securities Markets- Market and operational risk
                          • 1. Types of financial risks
                            • 2. Operational risk controls
                              - Risk mitigation systems
                              • 1. Margins and collateral systems
                                • 2. Surveillance and compliance mechanisms

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q257-Q262):

                                  NEW QUESTION # 257
                                  Under the SCORES 2.0 framework, if a complainant is dissatisfied with the resolution provided by the entity and requests a first review, the Designated Body (DB) may seek clarification from the entity. What is the specific timeline mandated for the Designated Body to submit the revised Action Taken Report (ATR) to the complainant after seeking such clarification?

                                  Answer: A

                                  Explanation:
                                  According to the SCORES 2.0 framework, the Designated Body shall stipulate the timeline in such a manner to ensure that the Designated Body submits the revised ATR to the complainant on SCORES within 10 calendar days of the review sought.


                                  NEW QUESTION # 258
                                  The Clearing Corporation (CC) provides the Early Pay-In (EPI) benefit to a client under the block mechanism based on specific matching criteri a. What data points does the CC match to grant this benefit?

                                  Answer: A

                                  Explanation:
                                  The source states that the Clearing Corporation (CC) will match the client level net obligations with the Block details provided by depositories and will provide EPI benefit to the client if the client level net obligation exists for that client.


                                  NEW QUESTION # 259
                                  As per the SEBI International Financial Services Centres (IFSC) guidelines, 2015, which of the following types of securities and products are permitted for dealing on the stock exchanges operating in the IFSC? (Select all that apply)

                                  Answer: A,B,C,D,E

                                  Explanation:
                                  As per the SEBI International Financial Services Centres (IFSC) guidelines, 2015, the stock exchanges operating in IFSC are permitted to deal in all the listed options: Equity shares of a company incorporated outside India, Depository receipt(s), Debt securities issued by eligible issuers, Currency and interest rate derivatives, Index based derivatives, Commodity derivatives, and REITs and InvITs.


                                  NEW QUESTION # 260
                                  The Securities Contracts (Regulation) Act, 1956 (SCRA) and the SEBI Act, 1992 have distinct regulatory scopes. Which of the following regulatory functions falls specifically under the direct jurisdiction of the Central Government as per the SCRA, 1956?

                                  Answer: A

                                  Explanation:
                                  The SCRA, 1956 gives the Central Government regulatory jurisdiction over Stock Exchanges through a process of recognition and continued supervision. While SEBI performs many functions, the specific power of recognition of Stock Exchanges originates from the SCRA under Central Government jurisdiction.


                                  NEW QUESTION # 261
                                  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?

                                  Answer: E

                                  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 # 262
                                  ......

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