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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q33-Q38):

NEW QUESTION # 33
Regarding participation in the International Financial Services Centres (IFSC), which of the following categories of resident investors is eligible to deal in securities listed in IFSC?

A. Only resident corporate entities with a net worth exceeding Rs. 100 Crore.
B. A person resident in India eligible under FEMA to invest funds offshore, to the extent allowed under the Liberalized Remittance Scheme (LRS).
C. Residents are strictly prohibited from dealing in securities listed in IFSC.
D. Only resident Qualified Institutional Buyers (QIBs).
E. Any resident individual irrespective of investment limit.

Answer: B

Explanation:
As per SEBI (International Financial Services Centres) Guidelines, 2015, a person resident in India who is eligible under FEMA to invest funds offshore, to the extent allowed under the Liberalized Remittance Scheme (LRS) of the Reserve Bank of India, is permitted to deal in securities listed in IFSC.

NEW QUESTION # 34
If a client submits a transfer instruction where the quantity is *less* than the net delivery obligation provided by the Clearing Corporation, what is the outcome of the validation process by the Depositories?

A. The instruction is processed, but a penalty is automatically levied on the client for short delivery.
B. The instruction is routed to the Clearing Member for manual approval before processing.
C. The instruction is carried out by the depositories.
D. The instruction is held in abeyance until a supplementary instruction for the balance quantity is received.
E. The instruction is rejected because it does not fully meet the obligation.

Answer: C

Explanation:
As per the validation logic: 'If the quantity in instruction is less than the obligation provided by CC, then the instruction will be carried out by the depositories.'

NEW QUESTION # 35
In the context of the operations of a Depository Participant (DP), what is identified as the 'main activity' pursuant to the trading activity of an investor?

A. Dematerialization of physical securities
B. Settlement and transfer of securities from one beneficiary account to another
C. Receiving non-cash corporate benefits like bonus shares
D. Freezing of the demat account for debits or credits
E. Pledging of dematerialized securities

Answer: B

Explanation:
The main activity of the DP is to open a demat account for an investor. The main activity being the settlement and transfer of securities from one beneficiary account to another pursuant a trading activity of an investor.

NEW QUESTION # 36
In the context of risk management for the T+0 settlement cycle, how are securities shortages handled if a selling member fails to deliver shares?

A. By imposing a standard valuation debit of 20% above the closing price.
B. By conducting an auction session on T+1 day along with the regular market auction.
C. Security shortages are directly closed out at 10% above the highest price of the day across all exchanges for the T+0 market.
D. By conducting an auction session on T+0 day at 2:30 PM.
E. The trade is annulled, and the buyer is refunded the transaction amount without penalty.

Answer: C

Explanation:
The source states that 'Auction shall not be conducted in case of securities shortage. Security shortages shall be directly closed out at 10% above the highest price of the day across all exchanges for T+0 market.'

NEW QUESTION # 37
Which of the following statements accurately reflect the operational requirements and functions of Clearing Members and Custodians in the Clearing Process? (Select all that apply)

A. Clearing Members act as the legal counterparty to all trades through the process of novation, replacing the Clearing Corporation.
B. Clearing Members must maintain a separate and distinct clearing bank account with a designated clearing bank.
C. It is mandatory for clearing members to open demat accounts with both depositories (CDSL and NSDL) known as clearing member settlement pool accounts.
D. Clearing Members can withdraw funds from their designated clearing bank account in favor of third-party vendors for operational expenses.
E. Custodians are required to confirm whether they will settle a trade assigned to them; if they fail to confirm, the onus of settlement falls on the executing trading member.

Answer: B,C,E

Explanation:
Statement A is correct ('mandatory for clearing members to open demat accounts with both the depositories'). Statement B is correct ('The custodian is required to confirm... In case the custodian fails to confirm then the onus of settling the trade falls on the trading member'). Statement E is correct ('mandatory for clearing member to open separate and distinct clearing bank account'). Statement C is incorrect because withdrawals are only allowed in 'self-name'. Statement D is incorrect because the *Clearing Corporation* acts as the legal counterparty through novation, not the Clearing Member.

NEW QUESTION # 38
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