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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q141-Q146):

NEW QUESTION # 141
Under the 'Segregation and Monitoring of Collateral at Client Level' norms, how is the collateral allocated to a client utilized by the Clearing Corporation?

A. It is used to cover the margin obligation of that specific client only.
B. It is transferred to the Core Settlement Guarantee Fund immediately upon receipt.
C. It is pooled with other clients' collateral to cover the aggregate margin requirement of the Trading Member.
D. It is primarily used for the client but can be used for the TM's proprietary obligations in case of a shortfall.
E. It is used to provide exposure limits to the Clearing Member's other Trading Members.

Answer: A

Explanation:
The CCs provide a facility for upfront segment-wise allocation of collateral. The CCs use such collateral allocation information to ensure that the collateral allocated to a client is used towards the margin obligation of that client only.

NEW QUESTION # 142
A claim against a defaulter trading member is received by the Stock Exchange after three years from the date of expiry of the specified period for lodging claims. How is such a claim categorized under the IPF guidelines?

A. It may be dealt with as a civil dispute.
B. It is eligible for 50% of the compensation limit applicable to timely claims.
C. It is referred to the SEBI Complaints Redressal System (SCORES) for arbitration.
D. It is treated as a priority claim but paid only after all timely claims are settled.
E. It is automatically rejected and cannot be pursued in any forum.

Answer: A

Explanation:
The text states: 'Any claim received after three years from the date of expiry of the specified period may be dealt with as a civil dispute.'

NEW QUESTION # 143
Under the ODR framework, what is the specific monetary threshold regarding the aggregate claim/counter-claim amount that necessitates the reference of the matter to an **Arbitral Tribunal consisting of three Arbitrators**?

A. Exceeds Rs. 30,00,000 (Rupees Thirty Lakhs)
B. Exceeds Rs. 10,00,000 (Rupees Ten Lakhs)
C. Exceeds Rs. 20,00,000(Rupees Twenty Lakhs)
D. Exceeds Rs. 1,00,00,000 (Rupees One Crore)
E. Exceeds Rs. 50,00,000(Rupees Fifty Lakhs)

Answer: A

Explanation:
The source specifies: 'In the event that the aggregate of the claim and/or counter-claim amount exceeds Rs 30,00,000 (Rupees Thirty Lakhs) or such amount as specified from time to time, the matter shall be referred to an Arbitral Tribunal consisting of three Arbitrators'.

NEW QUESTION # 144
When a stock broker's collateral utilization breaches the specific percentage (currently 90%), the 'Risk Reduction Mode' is triggered. Which of the following operational restrictions and conditions apply during this mode? (Select all that apply)

A. All unexecuted orders shall be cancelled immediately.
B. Client and Custodial Participant code modification is permitted to rectify errors.
C. Only orders with 'Immediate or Cancel' (IOC) attribute are permitted.
D. Non-margined orders are accepted without restriction to maintain liquidity.
E. Fresh orders placed by the member to reduce the open position will be accepted.

Answer: A,C,E

Explanation:
In Risk Reduction Mode: 1) All unexecuted orders shall be cancelled. 2) Only orders with Immediate or Cancel attribute shall be permitted. 3) Fresh order placed by member to reduce the open position will be accepted. Option D is incorrect because non-margined orders shall *not* be accepted. Option E is incorrect because Client and Custodial Participant code modification shall *not* be permitted.

NEW QUESTION # 145
In the context of stock brokers providing mutual fund services, what specific compliance obligation is imposed by Regulation 4(g) of the SEBI (Investment Advisers) Regulations, 2013?

A. Stock brokers must ensure client level segregation of advisory and distribution activities at the entity and group level.
B. Stock brokers are prohibited from charging any commission on mutual fund distribution if they are registered as InvestmentAdvisers.
C. Stock brokers must route all mutual fund advisory transactions through a separate subsidiary company.
D. Stock brokers must maintain a minimum net worth of Rs. 1 Crore to offer investment advice.
E. Stock brokers must obtain a separate license from AMFI for providing advisory services.

Answer: A

Explanation:
Regulation 4(g) of SEBI (Investment Advisers) Regulations, 2013 requires stock brokers to comply with general obligations... which, inter-alia, provide that client level segregation of advisory and distribution activities needs to be ensured at the entity and group level.

NEW QUESTION # 146
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