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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Topic 1: 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
          Topic 2: 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
                  Topic 3: Risk Management in Securities Markets- Market and operational risk
                  • 1. Types of financial risks
                    • 2. Operational risk controls
                      - Risk mitigation systems
                      • 1. Margins and collateral systems
                        • 2. Surveillance and compliance mechanisms
                          Topic 4: Securities Market Operations- Trading process
                          • 1. Trade confirmation and reporting
                            • 2. Order execution and trade lifecycle
                              - Market participants and structure
                              • 1. Roles of brokers, exchanges, and investors
                                • 2. Order types and trading mechanism basics

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q65-Q70):

                                  NEW QUESTION # 65
                                  Under the framework for 'Upstreaming of clients' funds', how should a Trading Member (TM) handle the funds received from clients whose running accounts have been settled?

                                  Answer: A

                                  Explanation:
                                  To safeguard against misuse, 'Trading Member shall ensure that funds, if any, received from clients, whose running account has been settled, remain in the +1Jp Streaming Client Nodal Bank Accounte and no such funds shall be used for settlement of running account of other clients',.


                                  NEW QUESTION # 66
                                  Cash Management Bills (CMBs) are issued by the Government of India to fund temporary cash flow mismatches. Which of the following correctly identifies their maturity characteristics and trading platform?

                                  Answer: A

                                  Explanation:
                                  Cash Management Bills (CMBs) have maturities less than 91 days. They are issued to absorb excess liquidity and fund temporary mismatches. Like Treasury bills, they are traded on the NDS-OM platform along with Government Securities.


                                  NEW QUESTION # 67
                                  Which of the following statements are TRUE regarding the management, accruals, and usage of the Core Settlement Guarantee Fund (Core SGF)? (Select all that apply)

                                  Answer: C,D,E

                                  Explanation:
                                  According to the source: Penalties levied by CC shall be credited to Core SGF corpus (Option A is True). Interest on cash contribution shall accrue to the Core SGF and be attributed pro-rata (Option B is False). The ROC of the CC shall manage the Core SGF (Option C is True). SEs are allowed to transfer excess contribution in inter-operable scenarios (Option D is True). CC contribution to core SGF shall be considered as part of its net worth (Option E is False).


                                  NEW QUESTION # 68
                                  According to the eligibility criteria for 'Accredited Investors' in the Indian securities market, which of the following financial profiles satisfies the requirements for an Individual or HUF to obtain accreditation?

                                  Answer: C

                                  Explanation:
                                  As per the eligibility criteria for Accredited Investors, an Individual, HIJF, Family Trust, or sole proprietorship must meet one of the following: (i) Annual Income >= INR 2 Crore; OR (ii) Net Worth >= INR 7.5 Crore, out of which at least INR 3.75 Crore is in the form of financial assets; OR (iii) Annual Income >= INR 1 Crore + Net Worth >= INR 5 Crore, out of which at least INR 2.5 Crore is in the form of financial assets.


                                  NEW QUESTION # 69
                                  While the Securities and Exchange Board of India (SEBI) is the primary regulator for the securities market, certain powers under the Securities Contracts (Regulation) Act (SCRA) are exercised concurrently by the Reserve Bank of India (RBI). For which of the following instrument types is this concurrent jurisdiction explicitly applicable?

                                  Answer: D

                                  Explanation:
                                  The powers in respect of contracts for sale and purchase of securities, gold related securities, money market securities, securities derived from these securities, and ready forward contracts in debt securities are exercised concurrently by the RBI.


                                  NEW QUESTION # 70
                                  ......

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