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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q90-Q95):

NEW QUESTION # 90
According to the requirements for maintaining books of account, what specific details must be recorded in the 'Register of Transactions' (Sauda Book)?

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

Answer: B

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 # 91
Which of the following instruments allow Indian companies to raise resources from international capital markets?

A. External Commercial Borrowings (ECBs)
B. Indian Depository Receipts (IDRs)
C. Foreign Currency Convertible Bonds (FCCBs)
D. Masala Bonds
E. Global Depository Receipts (GDRs)

Answer: A,C,D,E

Explanation:
Indian companies can raise resources from international markets through GDRs, ADRs, FCCBs, ECBs, and Masala Bonds„,. IDRs are used by foreign companies to raise capital from Indian markets.

NEW QUESTION # 92
SEBI vide circular dated September 24, 2024, mandated the use of UPI for blocking funds for individual investors applying in public issues of debt securities up to Rs. 5 Lakh. However, a subsequent clarification dated October 18, 2024, permitted a specific alternative online submission method. What is this permitted alternative?

A. Submission via physical ASBA forms at designated Self Certified Syndicate Banks (SCSBs).
B. Submission through the General Ledger account of the Stock Broker.
C. Direct transfer of funds to the issuer's escrow account via NEFT/RTGS.
D. Submission using the facility of linked online trading, demat, and bank account (3-in-l type accounts).
E. Submission via the dedicated mobile application of the Registrar and Transfer Agent.

Answer: D

Explanation:
The text states that 'investors may continue to submit the bid-cum application form online using the facility of linked online trading, demat and bank account (3-in-l type accounts) for making application in public issue of debt securities, non-convertible redeemable preference shares, municipal debt securities and securitised debt instruments.'

NEW QUESTION # 93
Regarding the facility provided by Clearing Corporations to Clearing Members for the pay-in of securities through NSDL/CDSL, which automated mechanism is available to streamline the process?

A. Auto-borrowing of securities from the Securities Lending and Borrowing (SLB) platform to meet shortfalls.
B. Automatic conversion of physical shares to demat shares on the pay-in date.
C. Auto-pledge of client securities directly to the Clearing Corporation without broker intervention.
D. Automatic debit of the client's bank account for the value of securities short delivered.
E. Delivery-out instructions generated automatically by the Clearing Corporation based on the net delivery obligations of its Clearing Members.

Answer: E

Explanation:
For pay-in through NSDL/CDSL, the broker can avail of a facility wherein delivery-out instructions can be generated automatically by the Clearing Corporation based on the net delivery obligations of its Clearing Members.

NEW QUESTION # 94
In the context of the validation process for Pay-In of securities from a client's demat account to the Member Pool Account, how do Depositories handle a specific transfer instruction where the quantity specified in the instruction exceeds the client-wise net delivery obligation provided by the Clearing Corporation?

A. The instruction is processed fully, but the excess securities are immediately returned to the client's account by the Clearing Member.
B. The instruction is kept pending until the Clearing Corporation updates the obligation to match the instruction.
C. The instruction is rejected in its entirety due to the discrepancy in quantity.
D. The instruction is processed fully, creating an excess balance in the Member Pool Account which is flagged for audit.
E. The instruction is partially processed by the depositories up to the matching obligation quantity.

Answer: E

Explanation:
According to the validation process rules: 'If the quantity in instruction is more than the obligation provided by CC, then the instruction will be partially processed by the depositories (i.e., upto the matching obligation quantity).'

NEW QUESTION # 95
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