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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Topic 1: Securities Market Operations- Trading process
  • 1. Trade confirmation and reporting
    • 2. Order execution and trade lifecycle
      - Market participants and structure
      • 1. Order types and trading mechanism basics
        • 2. Roles of brokers, exchanges, and investors
          Topic 2: Clearing and Settlement- Settlement systems
          • 1. T+1/T+2 settlement cycles
            • 2. Margining and risk adjustments
              - Clearing mechanisms
              • 1. Clearing corporations and counterparties
                • 2. Netting and settlement obligations
                  Topic 3: Depository Operations- Demat account framework
                  • 1. Account opening and maintenance
                    • 2. NSDL and CDSL roles
                      - Corporate actions
                      • 1. Record dates and entitlement processing
                        • 2. Dividends, bonuses, splits
                          Topic 4: Risk Management in Securities Markets- Risk mitigation systems
                          • 1. Surveillance and compliance mechanisms
                            • 2. Margins and collateral systems
                              - Market and operational risk
                              • 1. Operational risk controls
                                • 2. Types of financial risks

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q77-Q82):

                                  NEW QUESTION # 77
                                  To calculate the Adjustment Factor for a **Rights Issue** in the Equity F&O segment, the 'Benefits per share (E)' must first be determined. Which formula correctly represents the calculation of 'E'?

                                  Answer: D

                                  Explanation:
                                  In the context of Rights Issue adjustment, Benefits per share (E) is calculated using the formula: E = (P - S) * A1 (A + B), where P is the underlying close price on the last cum date, S is the issue price of the rights, A is the Rights Entitlement, and B is the Number of Existing shares.


                                  NEW QUESTION # 78
                                  Which of the following scenarios is explicitly EXEMPT from the mandatory periodic settlement of running accounts for funds?

                                  Answer: B

                                  Explanation:
                                  Periodic settlement of running accounts may not be necessary in specific cases, including: 'In case of institutional clients settling trades through custodians'. Other exceptions include clients availing margin trading facility (to the extent of funds relating to MTF) and funds received as BG/FDR collaterals.


                                  NEW QUESTION # 79
                                  When a corporate action adjustment (such as a bonus ratio of 3:7) results in fractions, a specific methodology is adopted to minimize fraction settlements. How are the Strike Price and Market Lot rounded off in this process?

                                  Answer: B

                                  Explanation:
                                  With a view to minimizing fraction settlements, the methodology adopted includes carrying out rounding off for the Strike Price to the nearest tick size and Market Lot to the nearest integer.


                                  NEW QUESTION # 80
                                  A Trading Member executes trades in both T+1 and T+0 settlement cycles for the same security on the same day. Which of the following statements correctly describes the netting of obligations between these two segments?

                                  Answer: D

                                  Explanation:
                                  The operational details for T+0 settlement explicitly state: 'There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycle.'


                                  NEW QUESTION # 81
                                  Identify the correct combination of the minimum Net Worth requirement for a Portfolio Manager and the minimum investment amount they must accept from a client (excluding accredited investors/co-investment managers) as per current regulations.

                                  Answer: D

                                  Explanation:
                                  The applicant must fulfill the net worth requirement of not less than Rs. 5 Crores. The portfolio manager shall not accept from the clients, funds or securities worth less than Rs. 50 lakh.


                                  NEW QUESTION # 82
                                  ......

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