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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q306-Q311):

NEW QUESTION # 306
Large stock brokers have evolved from pure trading intermediaries into comprehensive 'Financial Services Companies'. In this capacity, which specific service is highlighted as being offered primarily to High Net Worth Individuals (HNIs)?

A. Basic savings bank account services
B. Public Provident Fund (PPF) management
C. Micro-credit facilities
D. Direct Benefit Transfer (DBT) facilitation
E. Wealth management services

Answer: E

Explanation:
The text states: 'They also offer wealth management services for high net worth individuals (HNIs).' This is a distinct service offered by big stock brokers who have converted into financial services companies.

NEW QUESTION # 307
Regarding the execution of a 'Delivery Instruction Slip' (DIS) for debiting a beneficiary account in a depository, which of the following conditions is **MANDATORY** for the instruction to be processed?

A. The execution date on the DIS cannot be a future date; it must be the same as the submission date.
B. The DIS must be signed only by the primary holder in case of joint accounts.
C. The DIS must be physically submitted even if the client has enabled electronic DIS facilities.
D. The DIS must be counter-signed by a SEBI registered official.
E. The DIS must clearly indicate whether the trade is an 'off-market' trade or a 'market' trade.

Answer: E

Explanation:
A beneficiary account can be debited only if the beneficial owner has given 'Delivery Instruction Slip' (DIS) in the prescribed form. The DIS for an off-market trade or for a market trade has to be clearly indicated in the form by marking appropriately.

NEW QUESTION # 308
Which of the following statements accurately describe the settlement mechanisms and schedules in the Indian Securities Market?
(Select all that apply)

A. Funds pay-in for the T+1 settlement cycle in the Cash Market must occur by 11 AM on T+1 day.
B. Equity Cash market trades executed on T day are settled on T+1 day.
C. Exchange-traded equity derivatives contracts on Indices are cash-settled.
D. In Cash Settlement of derivatives, counterparties exchange the underlying physical asset upon expiry.
E. The final settlement of Currency Derivatives occurs on a T+1 basis.

Answer: A,B,C

Explanation:
Statement A is correct (T+1 rolling settlement). Statement C is correct (Pay-in upto 11:00 AM on T+1 Statement E is correct (Indices are cash-settled). Statement B is incorrect because Cash Settlement involves exchange of price differentials, not physical assets. Statement D is incorrect because the final settlement of Currency Derivatives occurs on a T+2 basis.

NEW QUESTION # 309
According to SEBI guidelines regarding the corpus of the Investor Protection Fund (IPF), specific penalties collected by Stock Exchanges contribute to the fund. What is the prescribed quantum of penalty collected from Trading Members (TMs) for default in pay-in by an investor in an Offer For Sale (OFS) transaction that must be credited to the IPF?

A. 20% of the shortage amount
B. 5% of the trade value
C. 10% of the order value
D. 2% of the order value
E. 1% of the trade value

Answer: C

Explanation:
The source explicitly lists the contributions to the IPF. One such contribution is: 'Penalty collected from TMs for default in pay-in by an investor in an Offer For Sale (OFS) transaction - 10% of the order value.'

NEW QUESTION # 310
Which of the following services can a Depository Participant (DP) engage in, as explicitly listed in the NISM workbook? (Select all that apply)

A. Receiving electronic credit in respect of securities allotted by issuers under IPO
B. Pledging of dematerialized securities & facilitating loans against shares
C. Issuing equity research reports for the depository
D. Freezing of the demat account for debits, credits, or both
E. Underwriting of Initial Public Offers (IPOs)

Answer: A,B,D

Explanation:
The services a DP can engage into include: Receiving electronic credit in respect of securities allotted by issuers under IPO; Pledging of dematerialized securities & facilitating loans against shares; Freezing of the demat account for debits, credits, or both. Research reports and Underwriting are not listed as DP services in this section.

NEW QUESTION # 311
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