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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q188-Q193):

NEW QUESTION # 188
With the implementation of direct pay-out of securities to client accounts by Clearing Corporations, what is the revised timing for the pay- out of securities in the T+1 rolling settlement cycle?

A. 9:00 AM on T+2 day
B. End of Day (EOD) on T day
C. 1:30 PM on T+1 day
D. 10:30 AM on T+1 day
E. 3:30 PM on T+1 day

Answer: E

Explanation:
SEBI has advised Clearing Corporations to facilitate the direct credit of pay-out securities to the respective client's demat account. As a consequence, the timing of the payout of securities shall be revised from 1:30 PM to 3:30 PM.

NEW QUESTION # 189
SEBI has introduced the mechanism of Net Settlement of cash segment and F&O segment upon expiry of stock derivatives. Which of the following scenarios specifically qualifies for this benefit of netting (merged settlements)?

A. Portfolio Managers (PMS) who are mandatorily directed to enter into delivery backed transactions.
B. An institutional investor trading through a Custodian in Cash and a Professional Clearing Member in F&O.
C. An investor whose Trading Member clears trades in F&O segment and cash segment through the same Clearing Member (CM).
D. All institutional investors including Foreign Portfolio Investors (FPIs).
E. An investor trading through different Trading Members who use different Clearing Members.

Answer: C

Explanation:
The benefit of netting (merged settlements) shall be available to investors whose trading member (TM) clears trades in F&O segment and cash segment through the same clearing member (CM). It is explicitly stated that this is not available for institutional investors or PMS directed to enter into delivery backed transactions.

NEW QUESTION # 190
Under the 'Segregation and Monitoring of Collateral at Client Level' norms, how is the collateral allocated to a client utilized by the Clearing Corporation?

A. It is transferred to the Core Settlement Guarantee Fund immediately upon receipt.
B. It is pooled with other clients' collateral to cover the aggregate margin requirement of the Trading Member.
C. It is used to cover the margin obligation of that specific client only.
D. It is used to provide exposure limits to the Clearing Member's other Trading Members.
E. It is primarily used for the client but can be used for the TM's proprietary obligations in case of a shortfall.

Answer: C

Explanation:
The CCs provide a facility for upfront segment-wise allocation of collateral. The CCs use such collateral allocation information to ensure that the collateral allocated to a client is used towards the margin obligation of that client only.

NEW QUESTION # 191
Since auction sessions are not applicable under the T+0 settlement cycle, how are securities shortages handled by the Clearing Corporation?

A. Shortages are settled by borrowing securities from the Securities Lending and Borrowing (SLB) segment automatically.
B. Shortages are deemed as 'bad delivery' and the trade is annulled immediately.
C. Shortages are directly closed out at above the highest price of the day across all exchanges for the T+0 market.
D. Shortages are carried forward to the T+1 auction session conducted on the next day.
E. Shortages are directly closed out at a rate of 20% above the official closing price of the T+1 market.

Answer: C

Explanation:
In the T+0 settlement cycle, an auction shall not be conducted in case of securities shortage. Security shortages shall be directly closed out at 10% above the highest price of the day across all exchanges for the T+0 market.

NEW QUESTION # 192
The 'Direct Listing of Equity Shares of Companies Incorporated in India on International Exchanges Scheme' is specified under which schedule of the Foreign Exchange Management (Non-debt Instruments) Rules, 2019?

A. Schedule I
B. Schedule V
C. Schedule X
D. Schedule VII
E. Schedule XI

Answer: E

Explanation:
The 'Direct Listing of Equity Shares of Companies Incorporated in India on International Exchanges Scheme' (the Direct Listing Scheme) is specified in Schedule Xl of Foreign Exchange Management (Non-debt Instruments) Rules, 2019. This scheme provides the framework for issuing and listing equity shares of public Indian companies on international exchanges.

NEW QUESTION # 193
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