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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q224-Q229):

NEW QUESTION # 224
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. The revised strike prices due to extra-ordinary dividend are applicable from the record date.
B. In case of extra-ordinary dividend, the total dividend amount is reduced from all strike prices of option contracts.
C. Dividends below 2% of the market value of the underlying stock are deemed ordinary dividends and no adjustment is made.
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: B,C,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 # 225
Under the framework for validation of instructions for Pay-In of securities, which of the following scenarios results in the immediate rejection of the transfer instruction by the Depositories?

A. When there are discrepancies in details like UCC, TM ID, CM ID, or ISIN between the instruction and the obligation data.
B. When the instruction is received on T+1 day instead of T day.
C. When the instruction is initiated by a Power of Attorney (POA) holder instead of the client directly.
D. When the quantity in the instruction is exactly equal to the obligation provided by the Clearing Corporation.
E. When the quantity in the instruction is less than the obligation provided by the Clearing Corporation.

Answer: A

Explanation:
The source states that under 'Unmatched Instruction': 'In case of discrepancies in details like UCC, TM ID, CM ID, ISIN etc., between instruction and obligation, such transfer instructions will be rejected by the depositories.'

NEW QUESTION # 226
Under the SEBI (Prohibition of Insider Trading) Regulations, 2015, which of the following parties is deemed to be a 'Connected Person' unless the contrary is established?

A. An individual who has never held a position in the company.
B. A former employee who left the company 12 months prior to the act.
C. A banker of the company.
D. A vendor supplying office stationery on a one-off basis.
E. A shareholder holding 5% interest in the company.

Answer: C

Explanation:
The regulations list categories of persons deemed to be 'Connected Persons'. This list includes a banker of the company. A former employee is a connected person if associated within 6 months prior to the act. A holding of more than 10% interest is required to be deemed connected. Therefore, a banker is the correct deemed connected person.

NEW QUESTION # 227
Under the Online Dispute Resolution (ODR) framework, if a Market Participant wishes to initiate dispute resolution against an investor/client through the ODR Portal, which of the following procedural pre-requisites must be strictly fulfilled?

A. The Market Participant must obtain a 'No Objection Certificate' from SEBI.
B. The Market Participant can only initiate ODR if the claim value exceeds Rs. 10 Lakhs.
C. The Market Participant must deposit 50% of the disputed amount with the Stock Exchange.
D. The Market Participant must wait for a mandatory cooling-off period of 60 days from the date of the transaction.
E. The Market Participant must give due notice of at least 15 calendar days to the investor/client for resolution of the dispute.

Answer: E

Explanation:
According to the source, 'The concerned Market Participant may also initiate dispute resolution through the ODR Portal after having given due notice of at least 15 calendar days to the investor/client for resolution of the dispute which has not been satisfactorily resolved between them'.

NEW QUESTION # 228
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 primarily used for the client but can be used for the TM's proprietary obligations in case of a shortfall.
B. It is transferred to the Core Settlement Guarantee Fund immediately upon receipt.
C. It is used to provide exposure limits to the Clearing Member's other Trading Members.
D. It is used to cover the margin obligation of that specific client only.
E. It is pooled with other clients' collateral to cover the aggregate margin requirement of the Trading Member.

Answer: D

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 # 229
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