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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q64-Q69):

NEW QUESTION # 64
A Trading Member executes sell orders in the T+0 settlement cycle. What is the mandatory mechanism required to fulfill the pay-in of securities for these sell obligations?

A. Standard pay-in instruction via physical DIS submitted to the Depository Participant.
B. Inter-depository transfer to the settlement account of the Clearing Corporation post-trading hours.
C. Only by way of early pay-in (EPI) using the block mechanism.
D. Transfer to the Member Pool Account by 10:30 AM on T day.
E. Auto-pledge of securities in favor of the Clearing Corporation.

Answer: C

Explanation:
The regulations specify that pay-in for T+0 sell obligations shall be allowed only by way of early pay-in using block mechanism.

NEW QUESTION # 65
What is the primary objective of the research reports (Fundamental, Stock, Sector, etc.) regularly brought out by stock brokers?

A. To fulfill the mandatory requirement of the Companies Act, 2013.
B. To generate additional brokerage by encouraging excessive churning of portfolios.
C. To help the investor make informed investment decisions.
D. To replace the role of the Investment Adviser completely.
E. To manipulate the market price of illiquid securities.

Answer: C

Explanation:
The text explicitly states: 'These reports are aimed at * *helping the investor make informed investment decisions**.'

NEW QUESTION # 66
In the case of a **Demerger** where the conditions for re-introducing derivative contracts on the post-restructured company are met, what happens to the *existing* derivative contracts on the pre-restructured company?

A. They are automatically converted into contracts of the resultant demerged entity based on the demerger ratio.
B. They continue to trade with adjusted strike prices until the original expiry date.
C. They are cash-settled immediately at the average price of the last 6 months.
D. They are suspended for 3 days and re-listed with new lot sizes on the ex-date.
E. All existing contracts of the security shall be expired on the last cum date.

Answer: E

Explanation:
If the conditions are satisfied dealing with existing derivative contracts on the pre-restructured company, the course of action is that all existing contracts of the security shall be expired on the last cum date.

NEW QUESTION # 67
Which of the following statements correctly describe the clearing and netting processes involving brokers and the Clearing Corporation?
(Select all that apply)

A. Every day, the Clearing Corporation sends the clearing member a list of all trading transactions made by him and his clients.
B. The Clearing Corporation performs multilateral netting to determine the net settlement obligations of members.
C. The final pay-in/pay-out of securities and funds is carried out through clearing banks and depository participants.
D. Stock brokers are permitted to net client accounts within their firm at the end of the day.
E. Netting at the Clearing Corporation level is done on a bilateral basis between buying and selling brokers.

Answer: A,B,C,D

Explanation:
All selected statements are correct based on the source text.
- 'Stock brokers are allowed to net the clients account within the firm.' [A]
- 'Clearing is performed by multilateral netting.' [B]
- 'Every day, the clearing corporation sends the clearing member a list of all trading transactions...' [C]
- 'Final pay-in/pay-out... is carried out through clearing banks and depository participants.' [E]
- Statement D is incorrect because netting is multilateral, not bilateral.

NEW QUESTION # 68
Which of the following statements accurately describe the rules and procedures for **Dividend Adjustment** in the Equity F&O segment?
(Select all that apply)

A. Adjustment for extra-ordinary dividend is carried out only on futures contracts, not options.
B. In case of extra-ordinary dividend, the total dividend amount is reduced from all strike prices of option contracts.
C. The revised strike prices due to extra-ordinary dividend are applicable from the record date.
D. Dividends below 2% of the market value of the underlying stock are deemed ordinary dividends and no adjustment is made.
E. If shareholders in the AGM change the rate declared by the Board, the market price reference changes to the closing price on the day previous to the AGM.

Answer: B,D,E

Explanation:
StatementA is correct: Dividends below 2% are ordinary and not adjusted. Statement B is correct: Total dividend amount is reduced from strike prices. Statement D is correct: If AGM changes the rate, the reference is the closing price previous to the date of the AGM. Statement C is incorrect because revised prices are applicable from the ex.dividend date. Statement E is incorrect as adjustments apply to strike prices of options as well.

NEW QUESTION # 69
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