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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Depository Operations	- Demat account framework 1. NSDL and CDSL roles 2. Account opening and maintenance - Corporate actions 1. Dividends, bonuses, splits 2. Record dates and entitlement processing
Topic 2: 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
Topic 3: Securities Market Operations	- Market participants and structure 1. Roles of brokers, exchanges, and investors 2. Order types and trading mechanism basics - Trading process 1. Order execution and trade lifecycle 2. Trade confirmation and reporting
Topic 4: Risk Management in Securities Markets	- Market and operational risk 1. Operational risk controls 2. Types of financial risks - Risk mitigation systems 1. Margins and collateral systems 2. Surveillance and compliance mechanisms

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q275-Q280):

NEW QUESTION # 275
Regarding the premium settlement for option contracts, at what level is the premium payable or receivable value computed by the Clearing Corporation?

A. Netting is done across all option contracts for a specific underlying security at the client level.
B. Gross at the Trading Member level but netted at the Clearing Member level.
C. After netting the premium payable or receivable positions at the Trading Member/Custodial Participant level for each option contract.
D. Gross at the individual client level without any netting.
E. Netting at the Clearing Member level across all segments.

Answer: C

Explanation:
The source states that for premium settlement in respect of admitted deals in options contracts, the premium payable or receivable value of clearing members shall be computed after netting the premium payable or receivable positions at trading member/Custodial Participant level, for each option contract, at the end of each trading day.

NEW QUESTION # 276
According to the SEBI (Prohibition of Insider Trading) Regulations, 2015, certain categories of persons are 'deemed to be connected persons' unless the contrary is established. Which of the following entities fall under this 'deemed' category?

A. A person who has been associated with the company in any capacity 8 months prior to the trade.
B. An official of a stock exchange or clearing corporation.
C. A banker of the company.
D. A holding company or subsidiary company of the listed entity.
E. A concern, firm, or HUF wherein a director of the company has more than 10% of the holding of interest.

Answer: B,C,D,E

Explanation:
The regulations list several categories of 'deemed connected persons' including holding/subsidiary companies, bankers, officials of stock exchanges/clearing corporations, and concerns where a director has >10% interest. Option E is incorrect because the definition of a connected person includes association during the six months prior to the concerned act, not eight months,.

NEW QUESTION # 277
Which type of risk, identified in the risk management framework for stock brokers, encompasses the scenario where a disruption at a firm or settlement system causes a 'domino effect' throughout financial markets?

A. Credit Risk
B. Market Risk
C. Legal Risk
D. Systemic Risk
E. Operational Risk

Answer: D

Explanation:
Systemic Risk refers to '(1) the scenario that a disruption at a firm, in a market segment, or to a settlement system could cause a 'domino effect' throughout the financial markets... or (2) a 'crisis of confidence' among investors, creating illiquid conditions'.

NEW QUESTION # 278
According to the 'Default Waterfall' mechanism for the Core Settlement Guarantee Fund (Core SGF), if a member defaults, which resource is utilized immediately **after** the defaulting member's monies (and insurance) are exhausted, but **before** the Core SGF corpus is accessed?

A. Clearing Member Primary Contribution.
B. Clearing Corporation resources equal to 5% of the segment MRC.
C. Penalties credited to Core SGF.
D. Capped additional contribution by non-defaulting members.
E. Stock Exchange contribution to Core SGF.

Answer: B

Explanation:
The utilization of the Settlement Guarantee Fund is generally in the following order: 1. Monies of defaulting member. 2. Insurance, if any. 3. resources (equal to 5% of the segment 4. Core SGF of the segment.

NEW QUESTION # 279
SEBI has introduced the mechanism of Net Settlement of cash segment and F&O segment upon expiry of stock derivatives. Under which of the following conditions is this benefit of netting (merged settlements) specifically available to an investor?

A. When the investor is an Institutional Investor (including FPIs) whose transactions are backed by delivery.
B. When the investor trades and clears through the same Trading Member (TM) - Clearing Member (CM) combination in both Cash and F&O segments.
C. When the investor is a Portfolio Manager (PMS) directed to enter into delivery backed transactions only.
D. When the investor trades in highly correlated indices across different exchanges.
E. When the investor uses different Clearing Members for Cash and F&O segments but they are interoperable.

Answer: B

Explanation:
The benefit of netting (merged settlements) shall be available to investors whose trading member (TM) clears trades in F&O segment and cash segment through the same clearing member (CM). It is not available for institutional investors or PMS directed to do delivery backed transactions.

NEW QUESTION # 280
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