Valid Exam NISM NISM-Series-VII Book, Latest NISM-Series-VII Exam Pattern

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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2026 Valid Exam NISM-Series-VII Book Free PDF | Efficient Latest NISM-Series-VII Exam Pattern: NISM Series VII - Securities Operations and Risk Management Certification

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q263-Q268):

NEW QUESTION # 263
For which specific category of clients is the 'Block Mechanism' in the demat account for sale transactions explicitly applicable?

A. High Net Worth Individuals (HNIs) trading in the F&O segment.
B. Non-Resident Indians (NRIs) dealing through a Portfolio Investment Scheme (PIS).
C. Retail investors using the Application Supported by Blocked Amount (ASBA) facility.
D. Corporate clients trading through a proprietary account of the Trading Member.
E. Clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.

Answer: E

Explanation:
The source explicitly states that the block mechanism shall not be applicable to clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.

NEW QUESTION # 264
To increase efficiency and reduce the time duration from issue closure to listing, a new timeline was introduced for public issues opening on or after December 1, 2023. What is this mandated timeline for listing?

A. T+2 days
B. T+6 days
C. T+1 days
D. T+3 days
E. T+5 days

Answer: D

Explanation:
The text states: 'The T+3 timeline for listing after the closure of public issue will be applicable for all public issues opening on or after December 1, 2023.'

NEW QUESTION # 265
Regarding the maintenance and preservation of books of account and other records by stock brokers, which of the following statements accurately reflects the regulatory requirements under the Securities Contracts (Regulation) Rules, 1957 (SCRR) and SEBI Regulations?

A. Books must be preserved for 10 years if the broker is involved in algorithmic trading.
B. Books must be preserved for 3 years; seized originals need not be tracked once handed over to agencies.
C. Books must be maintained in physical form only for a minimum of 5 years; electronic records are optional.
D. Books must be preserved for 5 years; if originals are seized by an enforcement agency, they must be preserved (originals or copies) until the trial is completed.
E. Books must be preserved for 8 years in alignment with the Companies Act, regardless of SEBI regulations.

Answer: D

Explanation:
As per Regulation 18 of the Stock Brokers Regulations 1992 and SCRR 1957, every stock broker shall preserve the specified books of account for a minimum period of five years. Furthermore, it is advised to preserve the originals (or copies if originals are taken) of documents taken by enforcement agencies during an investigation till the trial is completed.

NEW QUESTION # 266
If the conciliation process fails and the **Market Participant** decides to pursue online arbitration, what specific financial requirement must they satisfy prior to the initiation of the online arbitration?

A. They must deposit 75% of the claim value with the Investor Protection Fund (IPF).
B. They must obtain an indemnity bond from the investor for the full claim amount.
C. They must provide a Bank Guarantee equivalent to 50% of the claim value.
D. They must pay a non-refundable arbitration fee of Rs. 25,000.
E. They must deposit 100% of the admissible claim value with the relevant Market Infrastructure Institution (MII).

Answer: E

Explanation:
As per the guidelines, 'In case the Market Participant wishes to pursue online arbitration, then the Market Participant must deposit 100% of the admissible claim value with the relevant Mll prior to initiation of the online arbitration'.

NEW QUESTION # 267
In the context of the clearing and settlement ecosystem, the Clearing Corporation assumes the role of a legal counterparty to all trades executed on the Stock Exchange. What is the specific legal term for this process where the original contract between the buyer and seller is replaced by two new contracts with the Clearing Corporation?

A. Novation
B. Adjudication
C. Subrogation
D. Arbitration
E. Indemnification

Answer: A

Explanation:
The process is called novation. Through novation, the Clearing Corporation becomes the buyer to every seller and the seller to every buyer, thereby acting as a legal counterparty to all trades. This ensures that if there is a default by either party, the Clearing Corporation is responsible for ensuring settlement.

NEW QUESTION # 268
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