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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q333-Q338):

NEW QUESTION # 333
Under which of the following circumstances does the Clearing Corporation directly 'Close Out' the shortage WITHOUT conducting an auction session? (Select all that apply)

A. Shortage arising from trades executed in the normal rolling settlement cycle (T+1) for Group I liquid securities.
B. Shortage arising from trades in the T+0 rolling settlement cycle.
C. Shortage arising from trades executed in the Block Deal window.
D. Shortage in securities under the Trade for Trade Surveillance (TFTS) category.
E. Shortage in delivery of securities under corporate action (e.g., undergoing stock split/bonus).

Answer: B,C,D,E

Explanation:
The source specifies that for certain delivery shortages, CC directly does the close-out without conducting an auction. Examples include: Securities under trade for trade category, securities under corporate action, trades done on block deal window (Section 6.5.2). Additionally, regarding the T+0 rolling settlement cycle, it is stated that 'Auction shall not be conducted in case of securities shortage. Security shortages shall be directly closed out' (Section 3.4.3 / 5.7). Option C is incorrect because normal rolling settlement shortages are handled via auction.

NEW QUESTION # 334
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 individual client level without any netting.
C. Netting at the Clearing Member level across all segments.
D. Gross at the Trading Member level but netted at the Clearing Member level.
E. After netting the premium payable or receivable positions at the Trading Member/Custodial Participant level for each option contract.

Answer: E

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 # 335
Once a conciliator is appointed by the ODR Institution, what is the prescribed timeline for the disputing parties to reach an amicable resolution, and under what condition can this period be extended?

A. 45 calendar days, with no provision for extension to ensure speedy disposal.
B. 15 calendar days, extendable by 7 days if the conciliator deems it necessary.
C. 21 calendar days, extendable for a maximum period of 10 calendar days by consent of the disputing parties.
D. 30 calendar days, extendable by 15 days upon approval by the MI.
E. 10 calendar days, extendable by 10 calendar days upon payment of late fees.

Answer: C

Explanation:
The source states: 'Such conciliator shall conduct one or more meeting/s for the disputing parties to reach an amicable and consensual resolution within 21 calendar days (unless extended for a maximum period of 10 calendar days by consent of the disputing parties to be recorded in writing/electronically)'.

NEW QUESTION # 336
Under the regulatory framework defined in Section 24 of the Companies Act, 2013, the administration of specific provisions for listed companies (or those proposed to be listed) is delegated to the Securities and Exchange Board of India (SEBI). Which of the following matters is EXCLUSIVELY administered by SEBI under this delegation, while remaining otherwise under the Central Government's administration?

A. Incorporation of the company
B. Appointment of key managerial personnel
C. Non-payment of dividend
D. Registration of the company's memorandum of association
E. Conduct of Annual General Meetings

Answer: C

Explanation:
Section 24 of the Companies Act, 2013, delegates the power to regulate the issue and transfer of securities and the non-payment of dividend by listed companies (or those intending to get listed) to SEBI. All other provisions of the Companies Act are administered by the Central Government (Ministry of Corporate Affairs).

NEW QUESTION # 337
According to the requirements for maintaining books of account, what specific details must be recorded in the 'Register of Transactions' (Sauda Book)?

A. Only the net obligation of funds and securities to be settled with the Clearing Corporation.
B. Receipts and payments of funds involving clients, distinguishing between margin and settlement obligations.
C. Details of all dematerialized securities held in the broker's pool account and beneficiary account.
D. Each transaction effected, showing the name of the security, its value, rates gross and net of brokerage, and names of the clients.
E. General expenses, overheads, salaries, and petty cash adjustments for the broking firm.

Answer: D

Explanation:
The Register of Transactions (Sauda Book) is required to include each transaction effected. It must show the name of the security, its value, rates gross and net of brokerage, and names of the clients.

NEW QUESTION # 338
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