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NISM NISM-Series-VII Exam Syllabus Topics:

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

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q83-Q88):

                                  NEW QUESTION # 83
                                  A stock broker intends to provide an Internet Based Trading (IBT) facility to clients using their own infrastructure. According to the regulatory framework, what is the specific Net Worth requirement for the broker, and what is the timeline within which the Stock Exchange must communicate its decision on the application?

                                  Answer: B

                                  Explanation:
                                  The broker must have a minimum net worth of Rs.50 lacs if the broker is providing the Internet based facility on his own. The stock exchange should grant approval or reject the application as the case may be and communicate its decision to the member within 7 calendar days of the date of completed application submitted to the exchange.


                                  NEW QUESTION # 84
                                  When implementing the recommended Web Interfaces and Protocols between a Trading Web Server and Trading Client Terminals for IBT, which technical standards are suggested for adoption?

                                  Answer: A

                                  Explanation:
                                  Between a Trading Web Server and Trading Client Terminals, Interfaces Standards as per recommendations of IETF (Internet Engineering Task Force) and W3C (World Wide Web Consortium) may be adopted. E.g.: HTTP Ver 4 or above HTML Ver 4/XML.


                                  NEW QUESTION # 85
                                  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)

                                  Answer: A,C,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 # 86
                                  In the context of the settlement of running accounts for funds, specific rules apply to clients who have been inactive. If a client has a credit balance but has **not executed any transaction in the last 30 calendar days**, how must the Trading Member (TM) handle the settlement?

                                  Answer: E

                                  Explanation:
                                  For clients having a credit balance who have not done any transaction in the 30 calendar days since the last transaction, the entire credit balance shall be returned to the client by the TM on the upcoming settlement dates of the monthly running account settlement cycle (irrespective of the settlement cycle preferred by the client).


                                  NEW QUESTION # 87
                                  Which of the following scenarios is explicitly EXEMPT from the mandatory periodic settlement of running accounts for funds?

                                  Answer: A

                                  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 # 88
                                  ......

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