Free PDF 2026 NISM NISM-Series-VII: Authoritative NISM Series VII - Securities Operations and Risk Management Certification Passing Score

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q129-Q134):

NEW QUESTION # 129
In the context of the Indian Money Market, issuers must adhere to specific credit rating requirements to issue Commercial Paper (CP).
What is the minimum credit rating required from a Credit Rating Agency (CRA) for the issuance of CPs?

Answer: D

Explanation:
A Commercial Paper (CP) is used by Indian corporates to raise short-term unsecured funds. According to RBI regulations, the minimum credit rating assigned by a Credit Rating Agency (CRA) for the issuance of CPs shall be 'A3' as per the rating symbol and definition prescribed by SEBI.


NEW QUESTION # 130
Certain types of complaints fall outside the purview of the SEBI Complaints Redress System (SCORES). Which of the following is explicitly NOT dealt with through SCORES?

Answer: C

Explanation:
At present, complaints against a sick company or a company where a moratorium order is passed in winding up / insolvency proceedings are not dealt with through SCORES. Other exclusions include complaints against unlisted/delisted companies, sub-judice cases, and those under other regulators like RBI/IRDAI.,


NEW QUESTION # 131
In the context of the modernization of services provided by brokers, how are research advice and recommendations increasingly being delivered to clients?

Answer: E

Explanation:
The text states that advice and recommendations can be obtained as on to the mobile phone". It further notes, 'So, it is more online now.'


NEW QUESTION # 132
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?

Answer: E

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 # 133
Which of the following statements accurately reflect the 'Additional Requirements' and operational controls mandated for Internet Based Trading (IBT) and Securities Trading Using Wireless Technology (STWT)? (Select all that apply)

Answer: A,C,E

Explanation:
Option A is incorrect: 'Brokers using Internet based systems for routing client orders will not be allowed to cross trades of their clients with each other. All orders must be offered to the market for matching.' Option E is incorrect: 'DOT policy and regulation shall govern the level of encryption.' Options B, C, and D are correct based on the 'Additional Requirements' section: Capture IP address, Automatic trading session logout, and On-site as well as remote site back-up capabilities.


NEW QUESTION # 134
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