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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q321-Q326):

NEW QUESTION # 321
A Clearing Member (CM) maintains a designated clearing account with a Clearing Bank. While the CM is permitted to deposit funds into this account in any form, which of the following specific restrictions is imposed on the withdrawal of funds from this account to ensure regulatory compliance?

A. Funds can be withdrawn directly to the client's beneficiary bank account to facilitate faster payout.
B. Withdrawals are restricted to 50% of the account balance on any given trading day.
C. Funds can be withdrawn only via physical Demand Drafts and not through electronic transfer.
D. Funds can be withdrawn only after obtaining a 'No Objection Certificate' from the Stock Exchange.
E. Funds can be withdrawn only in 'self-name' of the Clearing Member.

Answer: E

Explanation:
According to the regulations governing Clearing Members and Custodians, while a Clearing Member can deposit funds into the clearing accounts in any form, they can withdraw funds from these accounts only in self-name. This restriction helps in maintaining a clear audit trail and preventing third-party risks.

NEW QUESTION # 322
Stock brokers are required to maintain evidence of clients placing orders to prevent unauthorized trades. Which of the following statements accurately describes the regulatory requirements regarding the forms of evidence and the retention period?

A. Evidence must be physical records only, retained for 5 years.
B. Evidence is optional for internet-based transactions and must be retained for 1 year.
C. Evidence can be physical records, telephone recordings, emails, or SMS logs, and must be retained for a minimum of 3 years.
D. In case of a dispute, records can be disposed of immediately after the broker files a response.
E. Telephone recordings are mandatory only for institutional clients and must be kept for 2 years.

Answer: C

Explanation:
The source states that brokers shall execute trades only after keeping evidence in forms such as 'Physical record written & signed by client, Telephone recording, Email from authorized email id, Log for internet transactions, Record of SMS messages'. Regarding retention: 'The Brokers are required to maintain the records for a minimum period for which the arbitration accepts investors' complaints as notified from time to time (which is currently three years).'

NEW QUESTION # 323
In the context of adjustments for corporate actions such as Bonus, Rights, or Mergers in the Equity F&O segment, at what specific point in time is the adjustment carried out?

A. On the Record Date fixed by the company for the corporate action.
B. On the date of the Board Meeting where the corporate action was announced.
C. On the payout date of the relevant settlement cycle.
D. On the Ex-Date of the corporate action before the start of market hours.
E. On the last day on which a security is traded on a 'cum' basis in the underlying equities market after the close of trading hours.

Answer: E

Explanation:
The regulations specify that any adjustment for corporate actions would be carried out on the last day on which a security is traded on a cum basis in the underlying equities market after the close of trading hours.

NEW QUESTION # 324
In the process of Auction of Securities, if the auction or close-out results in proceeds that exceed the claim of the aggrieved party (buyer), how is the remaining amount treated?

A. It is refunded to the defaulting selling member.
B. It is shared equally between the Clearing Corporation and the aggrieved party.
C. It is credited to the Core Settlement Guarantee Fund (Core SGF).
D. It is retained by the Clearing Corporation as administrative charges.
E. It is transferred to the Investor Protection Fund (IPF) of the Exchange.

Answer: C

Explanation:
The Proceeds from Auction or Close-out should be used to settle the claim of the aggrieved party. Any amount remaining thereof should be credited to the Core Settlement Guarantee Fund ('Core SGF') instead of crediting it to the defaulting party's account.

NEW QUESTION # 325
Which of the following instruments is specifically defined as a rupee-denominated bond issued outside India by Indian entities to raise money in local currency from foreign investors?

A. Masala Bonds
B. American Depository Receipts (ADRs)
C. Global Depository Receipts (GDRs)
D. Foreign Currency Convertible Bonds (FCCBs)
E. Indian Depository Receipts (IDRs)

Answer: A

Explanation:
Masala Bonds are rupee-denominated bonds issued outside India by Indian entities. They are debt instruments which help to raise money in local currency from foreign investors,. FCCBs are issued in foreign currency. IDRs are for foreign companies raising funds in India. GDRs and ADRs are equity-based instruments issued by foreign depository banks,.

NEW QUESTION # 326
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