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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Investor Grievance Redressal	- Process of investor grievances redressal 1. Procedures for handling complaints 2. Regulatory requirements
Topic 2: Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Trade execution 2. Settlement processing 3. Risk management
Topic 3: Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Clearing and settlement process 2. Role of the back office in a securities broking firm
Topic 4: Risk Management	- Risk management in a securities broking firm 1. Identifying and mitigating risks 2. Compliance and control measures
Topic 5: Indian Securities Market	- Overview of the Indian securities market 1. Different products traded 2. Various market participants and their roles
Topic 6: Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Regulatory oversight 2. Investor protection

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q309-Q314):

NEW QUESTION # 309
To bring transparency to the Investor Grievance Redressal Mechanism, stock brokers are mandated to disclose data on complaints received and redressed on their respective websites. What is the specific deadline for this disclosure?

A. By the 7th of the succeeding month
B. By the 15th of the succeeding month
C. Within 21 days of the end of the quarter
D. By the last day of the succeeding month
E. By the 10th of the succeeding month

Answer: A

Explanation:
All Stock Brokers shall disclose on their respective websites, the data on complaints received against them or against issues dealt by them and redressal thereof, latest by the seventh of the succeeding month, as per the SEBI provided format.

NEW QUESTION # 310
Since auction sessions are not applicable under the T+0 settlement cycle, how are securities shortages handled by the Clearing Corporation?

A. Shortages are settled by borrowing securities from the Securities Lending and Borrowing (SLB) segment automatically.
B. Shortages are deemed as 'bad delivery' and the trade is annulled immediately.
C. Shortages are directly closed out at above the highest price of the day across all exchanges for the T+0 market.
D. Shortages are carried forward to the T+1 auction session conducted on the next day.
E. Shortages are directly closed out at a rate of 20% above the official closing price of the T+1 market.

Answer: C

Explanation:
In the T+0 settlement cycle, an 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 the T+0 market.

NEW QUESTION # 311
In the Clearing Process for Derivatives, how is a Trading Member's (TM) open position calculated for the purpose of exposure and daily margin?

A. Sum of Proprietary Open Position, Client Open Long Position, and Client Open Short Position.
B. Gross of all buy and sell transactions without any netting at contract level.
C. Net of Proprietary Position and Client Positions (Buy - Sell for the entire firm).
D. Higher of the Proprietary Position or the sum of Client Positions.
E. Sum of Proprietary Net Position and Client Net Positions (netted across all clients).

Answer: A

Explanation:
A TM's open position is the sum of proprietary open position, client open long position and client open short position. Clients' positions are arrived at by summing together net positions of each individual client, but positions are not netted across clients.

NEW QUESTION # 312
Stock brokers are permitted to borrow funds for providing Margin Trading Facility (MTF) from specific sources. Which of the following sources is explicitly prohibited for raising funds for MTF?

A. Borrowing from Non-Banking Financial Companies (NBFCs) regulated by RBI.
B. Using surplus funds of one client to provide margin trading facility to another client.
C. Borrowing from Scheduled Commercial Banks.
D. Issuance of Commercial Paper (CP) subject to RBI guidelines.
E. Unsecured long-term loans from promoters and directors.

Answer: B

Explanation:
The stock broker shall not use the funds of any client for providing the margin trading facility to another client, even if the same is authorized by the first client. Permitted sources include own funds, banks, NBFCs, CPs, and loans from promoters/directors.

NEW QUESTION # 313
For the purpose of identifying an 'extra-ordinary' dividend (which triggers adjustment in Equity F&O), the declared dividend must be at and above 2% of the market value of the underlying stock. How is this 'market price' specifically defined for the calculation?

A. The closing price of the scrip on the record date fixed for the purpose of dividend payment.
B. The volume-weighted average price (VWAP) of the scrip on the cum-dividend date.
C. The closing price of the scrip on the day previous to the date on which the announcement of the dividend is made by the Company after the Board meeting.
D. The closing price of the scrip on the date of the Annual General Meeting (AGM) where the dividend is approved.
E. The average closing price of the scrip for the last 5 trading days prior to the record date.

Answer: C

Explanation:
To decide whether the dividend is 'extra-ordinary', the market price would mean the closing price of the scrip on the day previous to the date on which the announcement of the dividend is made by the Company after the meeting of the Board of Directors. However, if the announcement is made after market hours, the same day's closing price is taken.

NEW QUESTION # 314
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