Quiz 2026 NISM The Best NISM-Series-VII Test Lab Questions

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Clearing and Settlement	- Clearing mechanisms 1. Netting and settlement obligations 2. Clearing corporations and counterparties - Settlement systems 1. Margining and risk adjustments 2. T+1/T+2 settlement cycles
Depository Operations	- Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits - Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles
Securities Market Operations	- Trading process 1. Order execution and trade lifecycle 2. Trade confirmation and reporting - Market participants and structure 1. Order types and trading mechanism basics 2. Roles of brokers, exchanges, and investors
Risk Management in Securities Markets	- Market and operational risk 1. Operational risk controls 2. Types of financial risks - Risk mitigation systems 1. Margins and collateral systems 2. Surveillance and compliance mechanisms

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q222-Q227):

NEW QUESTION # 222
For Futures Contracts on Individual Securities, which price is used as the 'Final Settlement Price' on the last trading day?

A. The theoretical price calculated using the cost of carry model.
B. The closing price of the futures contract on the expiry day.
C. The closing price of the relevant underlying security in the Capital Market Segment across exchanges.
D. The last traded price (LTP) of the underlying security on the primary exchange.
E. The weighted average price of the underlying security during the last 30 minutes of trading.

Answer: C

Explanation:
According to the Settlement Price table, the Final Settlement Price for Futures Contracts on Individual Securities is the Closing price of the relevant underlying security in the Capital Market Segment across exchanges on the last trading day of the futures contract.

NEW QUESTION # 223
For Securities Trading using Wireless Technology (STWT), specific operational and security controls are mandated to prevent misuse and ensure compliance. Which of the following statements regarding 'Session Login Details' and 'Server Location' is CORRECT?

A. Session login details can be stored if biometric auth is enabled; The server must be located in a Tier-1 city.
B. Session login details should not be stored on the devices; The broker's server routing orders to the exchange trading system shall be located in India.
C. Session login details must be encrypted and stored on the device; The server must be located within the Exchange premises.
D. Session login details should not be stored; The server location is at the discretion of the service provider.
E. Session login details can be stored on the device for ease of access; The server can be located anywhere globally.

Answer: B

Explanation:
The guidelines specify that Session login details should not be stored on the devices used for internet-based trading and securities trading using wireless technology. Furthermore, The broker's server routing orders to the exchange trading system shall be located in India.

NEW QUESTION # 224
Consider the following 'Sell' order book for a security. A new Buy Limit Order for 500 shares at a price of Rs. 121.50 is entered into the system.

Based on the price-time priority mechanism, how will this buy order be executed?

A. 200 shares @ 121.50, 200 shares @ 121.40, and 100 shares @ 121.20
B. 150 shares @ 121.20, 200 shares @ 121.40, and 150 shares @ 121.50
C. The order will remain pending as the full quantity cannot be matched at a single price.
D. 50 shares @ 121.20, 100 shares @ 121.20, 200 shares @ 121.40, and 150 shares @ 121.50
E. 500 shares @ Rs. 121.50

Answer: D

Explanation:
The order matching is done on a price-time priority basis. The buy order matches with the best sell price first (lowest price). It matches 50 @ 121.20 (T 1), then 100 @ 121.20 (T2), then 200 @ 121.40 (T3). The remaining 150 shares are matched against the order at 121.50 (T4). The executed prices are the passive order prices (121.20, 121.40, 121.50).

NEW QUESTION # 225
In the context of the settlement mechanism for institutional transactions, if a Custodian rejects a trade allocated to them by a broker, how is the settlement of such a rejected trade processed?

A. The settlement is deferred to T+2 to allow for re-confirmation.
B. The trade is transferred to the broker's error account for liquidation.
C. The Clearing Corporation settles the trade using the Core Settlement Guarantee Fund.
D. The trade is annulled by the Stock Exchange immediately.
E. The trade is settled through the Delivery Versus Payment (DVP) basis.

Answer: E

Explanation:
In the event of rejection of institutional trades by the custodian, the trade will be settled through Delivery Versus Payment (DVP) basis. Such trades will also be subjected to penalties as may be imposed by Stock Exchanges/Clearing Corporations.

NEW QUESTION # 226
The Securities Contracts (Regulation) Act, 1956 (SCRA) and the SEBI Act, 1992 have distinct regulatory scopes. Which of the following regulatory functions falls specifically under the direct jurisdiction of the Central Government as per the SCRA, 1956?

A. Regulation of Portfolio Managers
B. Registration of Foreign Portfolio Investors
C. Recognition and continued supervision of Stock Exchanges
D. Registration of Venture Capital Funds
E. Prohibition of Insider Trading

Answer: C

Explanation:
The SCRA, 1956 gives the Central Government regulatory jurisdiction over Stock Exchanges through a process of recognition and continued supervision. While SEBI performs many functions, the specific power of recognition of Stock Exchanges originates from the SCRA under Central Government jurisdiction.

NEW QUESTION # 227
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