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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q30-Q35):

NEW QUESTION # 30
Regarding the utilization of proceeds generated from an Auction or Close-out procedure, what is the regulatory requirement for handling any residual amount remaining after settling the claim of the aggrieved party?

A. It is returned to the defaulting member after deducting a 1% processing fee.
B. It is transferred to the SEBI General Fund.
C. It is distributed equally among all non-defaulting clearing members.
D. It must be credited to the Investor Protection Fund (IPF) of the Exchange.
E. It should be credited to the Core Settlement Guarantee Fund (Core SGF).

Answer: E

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 # 31
Under the revised framework for redressal of investor grievances through SCORES 2.0, which of the following statements accurately describe the timelines and process flows? (Select all that apply)

A. The Designated Body must submit the revised ATR to the complainant on SCORES within 10 calendar days of the review sought.
B. Complaints are automatically forwarded to the Securities Appellate Tribunal if not resolved within 7 days.
C. Entities shall resolve the complaint and upload the Action Taken Report (ATR) on SCORES within 21 calendar days of receipt of the complaint.
D. If the complainant is not satisfied with the ATR, they may request a review within 15 calendar days from the date of the ATR.
E. The first level of review is conducted by SEBI officials immediately upon request by the investor.

Answer: A,C,D

Explanation:
Entities must resolve complaints within 21 calendar days,. Complainants can request a review within 15 calendar days of the ATR. The Designated Body must submit the revised ATR within 10 calendar days of the review sought. Option D is incorrect as auto-escalation is to the next level (Designated Body/SEBI), not SAT. Option E is incorrect as the first review is by the Designated Body.

NEW QUESTION # 32
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. Mobile trading & Smart Order Routing (SOR)
B. Internet-based Online Trading (IBT)
C. Investment advice & Research reports
D. Issuance of Indian Currency
E. Margin funding

Answer: A,B,C,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 # 33
SEBI introduced the 'Demat Debit and Pledge Instruction' (DDPI) to replace the Power of Attorney (POA) for certain functions. For which of the following specific purposes does the DDPI authorize the stock broker/stock broker and depository participant to access the client's beneficial owner (BO) account?

A. Opening a new demat account with another depository participant on behalf of the client.
B. Updating the client's address and contact details in the KRA system.
C. Executing off-market trades between parties other than related parties.
D. Transferring funds from the client's bank account to the broker's proprietary account.
E. Meeting pay-in obligations for the settlement of trades executed by the client.

Answer: E

Explanation:
Under DDPI, the clients shall explicitly agree to authorize the stock broker/stock broker and depository participant to access their BO account for the limited purpose of meeting pay-in obligations for settlement of trades executed by them. The DDPI shall serve the same purpose of POA and significantly mitigate the misuse of POA.

NEW QUESTION # 34
The secondary market operates through different mediums with distinct settlement mechanisms. Which of the following statements accurately differentiates the Over-The-Counter (OTC) market from the Exchange Traded Market?

A. OTC markets consist of standardized contracts traded on a screen-based system.
B. Exchange Traded Markets do not adhere to a fixed time schedule for settlement.
C. Exchange Traded Markets allow buyers and sellers to know each other's identity directly.
D. OTC markets are informal markets where trades are negotiated and settled bilaterally.
E. OTC markets use a centralized Clearing Corporation to guarantee all trades.

Answer: D

Explanation:
The source states that OTC markets are informal markets where trades are negotiated, traded over the counter, and settled bilaterally. In contrast, the Exchange Traded Market uses a Clearing Corporation which acts as a counterparty and guarantees settlement, and buyers and sellers do not know each other.

NEW QUESTION # 35
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