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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Market Microstructure	12%	- Market indices and their calculation - Trading mechanisms and order types - Price discovery and market efficiency
Topic 2: Technology in Securities Markets	8%	- Systems for trading, clearing and settlement - Data security and business continuity - Emerging technologies and their impact
Topic 3: Securities Market Overview	10%	- Types of securities and products - Structure and segments of Indian securities market - Market participants and their roles
Topic 4: Investor Protection	7%	- Investor rights and grievances redressal - Investor education and awareness initiatives - Mechanisms for dispute resolution
Topic 5: Trading Operations	15%	- Client onboarding and KYC norms - Order management and trade execution - Front office functions and processes
Topic 6: Risk Management and Margining	18%	- Risk monitoring and control measures - Types of risks in securities operations - Margining systems and methodologies
Topic 7: Clearing and Settlement	15%	- Delivery versus payment and settlement guarantee - Settlement cycle and mechanisms - Clearing process and roles of clearing corporations
Topic 8: Regulatory Framework	15%	- SEBI Act, Rules and Regulations - Code of conduct and ethical practices - Compliance requirements for intermediaries

>> Hot NISM-Series-VII Spot Questions <<

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q59-Q64):

NEW QUESTION # 59
Clearing Members are required to provide an irrevocable authorization to their Clearing Bank regarding the operation of their clearing accounts. What constitutes the specific scope of this authorization concerning the Clearing Corporation's access?

A. To automatically convert funds into approved securities if the balance exceeds a specified threshold.
B. To allow the Clearing Bank to use the idle funds in the clearing account for its own treasury operations.
C. To audit the member's proprietary trading books and freeze accounts in case of high volatility.
D. To debit and credit the clearing accounts as per instructions and report balances/information to the Clearing Corporation.
E. To transfer funds between the Cash and Derivatives segments without specific instructions from the Clearing Corporation.

Answer: D

Explanation:
Clearing members must irrevocably authorize the Clearing Bank to allow the Clearing Corporation to access their clearing accounts for debiting and crediting as per instructions, and for reporting of balances and other information as required by the Clearing Corporation.

NEW QUESTION # 60
Which of the following statements accurately reflect the regulatory framework and exposure limits for Margin Trading Facility (MTF)?
(Select all that apply)

A. Collateral and Funded stocks need not be marked to market daily if they are Group 1 securities.
B. Stock brokers must obtain prior permission from the exchange before offering MTF.
C. Exposure to any single client at any point of time shall not exceed 20% of the broker's maximum allowable exposure.
D. Only corporate brokers with a net worth of at least Rs. 3 crore are eligible to provide MTF.
E. Stock brokers shall disclose gross exposure towards MTF to the Stock Exchanges on or before 6:00 PM on T+1 day.

Answer: B,D,E

Explanation:
Statement A is correct (Net worth min Rs. 3 Cr). Statement C is correct (Prior permission required). Statement E is correct (Disclosure by 6 PM on T+1 day). Statement B is incorrect because the single client exposure limit is 10%, not 20%. Statement D is incorrect because Collateral and Funded stocks shall be marked to market on a daily basis.

NEW QUESTION # 61
With the implementation of direct pay-out of securities to client accounts by Clearing Corporations, what is the revised timing for the pay- out of securities in the T+1 rolling settlement cycle?

A. 1:30 PM on T+1 day
B. End of Day (EOD) on T day
C. 10:30 AM on T+1 day
D. 9:00 AM on T+2 day
E. 3:30 PM on T+1 day

Answer: E

Explanation:
SEBI has advised Clearing Corporations to facilitate the direct credit of pay-out securities to the respective client's demat account. As a consequence, the timing of the payout of securities shall be revised from 1:30 PM to 3:30 PM.

NEW QUESTION # 62
Which of the following statements accurately describes the currency and jurisdictional nature of an International Financial Services Centre (IFSC) in India?

A. It caters to domestic customers only, offering products in foreign currency.
B. It is a jurisdiction providing financial services to non-residents and residents (to the extent permissible) in a currency other than the domestic currency (Indian Rupee).
C. It operates under the jurisdiction of the state government where it is located, dealing in dual currencies.
D. It is a deemed domestic territory for FEMA purposes but deals in foreign currency.
E. It operates in Indian Rupee (INR) but is exempt from RBI regulations.

Answer: B

Explanation:
An IFSC is defined as a jurisdiction that provides world-class financial services to non-residents and residents (to the extent permissible under current regulations) in a currency other than the domestic currency (Indian rupee) of the location where the IFSC is located.

NEW QUESTION # 63
To provide depository services to investors, a stock broker or trading member must register as a Depository Participant (DP). Under which specific legislative framework is this registration mandated and governed?

A. The Prevention of Money Laundering Act, 2002 and SEBI (Intermediaries) Regulations, 2008
B. The SEBI Act, 1992 and the Depositories Act, 1996
C. The Companies Act, 2013 and the Banking Regulation Act, 1949
D. The Information Technology Act, 2000 and the Indian Contract Act, 1872
E. The Securities Contracts (Regulation) Act, 1956 and the RBI Act, 1934

Answer: B

Explanation:
To provide depository services, the broker or the trading member has to get registered as a depository participant of a depository as per the SEBI Act 1992 and the Depositories Act of 1996.

NEW QUESTION # 64
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