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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q93-Q98):

NEW QUESTION # 93
Which of the following scenarios is explicitly EXEMPT from the mandatory periodic settlement of running accounts for funds?

A. Clients trading in the derivatives segment only.
B. High Net Worth Individuals (HNls) who have provided a written waiver.
C. Institutional clients settling trades through custodians.
D. Clients who have logged into their trading account at least once in the last 30 days.
E. Clients who have a credit balance of less than Rs. 1 lakh.

Answer: C

Explanation:
Periodic settlement of running accounts may not be necessary in specific cases, including: 'In case of institutional clients settling trades through custodians'. Other exceptions include clients availing margin trading facility (to the extent of funds relating to MTF) and funds received as BG/FDR collaterals.

NEW QUESTION # 94
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 must maintain a separate and distinct clearing bank account with a designated clearing bank.
B. It is mandatory for clearing members to open demat accounts with both depositories (CDSL and NSDL) known as clearing member settlement pool accounts.
C. Clearing Members can withdraw funds from their designated clearing bank account in favor of third-party vendors for operational expenses.
D. 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.
E. Clearing Members act as the legal counterparty to all trades through the process of novation, replacing the Clearing Corporation.

Answer: A,B,D

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 # 95
An investor wishes to lodge a complaint against a registered intermediary on the SCORES platform. Under the current limitation period guidelines, which of the following scenarios would likely lead to SEBI reserving the right to reject the complaint?

A. The complaint is lodged immediately after the intermediary provided an unsatisfactory reply.
B. The investor has approached the intermediary, but received no communication, and the cause of action is 8 months old.
C. The date of the cause of action is more than one year old.
D. The complaint is lodged within 6 months from the date the intermediary rejected the initial grievance.
E. The investor has already initiated arbitration proceedings for the same matter.

Answer: C

Explanation:
According to the guidelines for SCORES, the investor may lodge a complaint within one year from the date of cause of action. SEBI reserves its right to reject a complaint lodged on SCORES if the date of cause of action is more than one-year-old and/or the complainant has not taken up the complaint with the concerned entity prior to the said date.,

NEW QUESTION # 96
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 must deposit 50% of the disputed amount with the Stock Exchange.
C. The Market Participant can only initiate ODR if the claim value exceeds Rs. 10 Lakhs.
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 # 97
Which of the following facilities are normally offered by a stock broker's outlet as part of their diversified services? (Select all that apply)

A. Issuance of Indian Currency
B. Mobile trading & Smart Order Routing (SOR)
C. Internet-based Online Trading (IBT)
D. Margin funding
E. Investment advice & Research reports

Answer: B,C,D,E

Explanation:
The text explicitly lists the following facilities offered by a stock broker's outlet: 'Investment advice & Research reports', 'Margin funding', 'Mobile trading & Smart Order Routing (SOR)', and 'Internet-based Online Trading (IBT)'. Option D is incorrect.

NEW QUESTION # 98
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