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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q29-Q34):

NEW QUESTION # 29
A 'Self Auction' mechanism is utilized to address 'Internal Shortages'. Which of the following scenarios best describes an internal shortage that necessitates this specific procedure?

A. A member utilizes client securities for proprietary trading resulting in a shortage during a surprise audit.
B. A selling client fails to deliver shares to the member, but the member has no net obligation to the Clearing Corporation due to an offsetting purchase by another client of the same member.
C. The depository fails to transfer shares from the client beneficiary account to the pool account due to a system glitch.
D. A member shorts a stock in the derivatives segment but holds the physical stock in the cash segment.
E. A member fails to deliver securities to the Clearing Corporation because of a shortfall in the Clearing Member Pool Account.

Answer: B

Explanation:
Internal shortages occur when a selling client fails to deliver shares to the trading member, but due to netting (a purchase transaction by another buying client in the same security), the member has no delivery obligation to the Clearing Corporation. In such cases, the member requires shares to deliver to the buying client, and an auction (Self Auction) is conducted to procure these shares,.

NEW QUESTION # 30
While most delivery shortages in compulsory rolling settlements are handled via auction, certain cases result in a direct close-out. For which of the following scenarios is the auction mechanism NOT conducted, and the trade is directly closed out?

A. Shortages in A-Group liquid securities with high trading volume.
B. Shortages in securities that are under 'Trade for Trade' category or currently under corporate action.
C. Shortages arising from institutional trades where the custodian has rejected the trade.
D. Shortages caused by a technical glitch in the broker's back-office software.
E. Shortages where the quantity is less than 500 shares.

Answer: B

Explanation:
In certain delivery shortages, the clearing corporation directly does the close-out without conducting an auction. Examples include 'Securities under trade for trade category, securities under corporate action, trades done on block deal window', etc.

NEW QUESTION # 31
To ensure compliance while providing research-based advisory services, brokerage houses must adhere to specific regulations and circulars. According to the NISM workbook, which of the following represents the governing framework for Research Reports?

A. SEBI (Research Analysts) Regulation, 2014 and Master Circular for Research Analyst dated May 21 , 2024
B. Securities Contracts (Regulation) Rules, 1957 and SEBI (Prohibition of Insider Trading) Regulations, 2015
C. SEBI (Stock Brokers) Regulations, 1992 and Master Circular dated May 21 , 2024
D. SEBI (Investment Advisers) Regulations, 2013 and Master Circular dated December 16, 2020
E. SEBI (Portfolio Managers) Regulations, 2020 and Master Circular dated March 20, 2023

Answer: A

Explanation:
Brokerage houses providing research-based advisory services must comply with the relevant guidelines provided under (Research Analysts) Regulation, 2014" and "'Master Circular for Research Analyst' dated May 21 , 2024**.

NEW QUESTION # 32
Which of the following statements correctly describe the operational framework for the settlement of institutional transactions in the Cash Segment? (Select all that apply)

A. It is mandatory for all institutional trades to be processed through the Straight Through Processing (STP) system.
B. The Custodial Participant (CP) Code must be entered at the time of order entry.
C. Institutional investors are permitted to square off their transactions intra-day (Day Trading).
D. All transactions are grossed for institutional investors at the custodian level for obligation fulfillment.
E. The custodian settles their deliveries on a gross basis with the stock exchanges.

Answer: A,B,D

Explanation:
Statement A is correct (Mandatory STP). Statement C is correct (Transactions grossed at custodian level for investor obligation). Statement E is correct (Mandatory CP code at order entry). Statement B is incorrect (Day trading prohibited). Statement D is incorrect because the custodian continues to settle their deliveries on a *net basis* with the stock exchanges/clearing corporation, even though the client obligation is gross.

NEW QUESTION # 33
Which of the following statements accurately describe the rules and procedures for **Dividend Adjustment** in the Equity F&O segment?
(Select all that apply)

A. In case of extra-ordinary dividend, the total dividend amount is reduced from all strike prices of option contracts.
B. Dividends below 2% of the market value of the underlying stock are deemed ordinary dividends and no adjustment is made.
C. The revised strike prices due to extra-ordinary dividend are applicable from the record date.
D. Adjustment for extra-ordinary dividend is carried out only on futures contracts, not options.
E. If shareholders in the AGM change the rate declared by the Board, the market price reference changes to the closing price on the day previous to the AGM.

Answer: A,B,E

Explanation:
StatementA is correct: Dividends below 2% are ordinary and not adjusted. Statement B is correct: Total dividend amount is reduced from strike prices. Statement D is correct: If AGM changes the rate, the reference is the closing price previous to the date of the AGM. Statement C is incorrect because revised prices are applicable from the ex.dividend date. Statement E is incorrect as adjustments apply to strike prices of options as well.

NEW QUESTION # 34
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