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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: 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
Topic 2: Depository Operations	- Corporate actions 1. Dividends, bonuses, splits 2. Record dates and entitlement processing - Demat account framework 1. NSDL and CDSL roles 2. Account opening and maintenance
Topic 3: Risk Management in Securities Markets	- Risk mitigation systems 1. Margins and collateral systems 2. Surveillance and compliance mechanisms - Market and operational risk 1. Operational risk controls 2. Types of financial risks
Topic 4: Clearing and Settlement	- Clearing mechanisms 1. Clearing corporations and counterparties 2. Netting and settlement obligations - Settlement systems 1. Margining and risk adjustments 2. T+1/T+2 settlement cycles

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q17-Q22):

NEW QUESTION # 17
Identify the category of Clearing Member that possesses both trading and clearing rights and is authorized to clear and settle trades for themselves, other trading members, and custodial participants.

A. Authorized Person
B. Trading Member-cum-Clearing Member (TCM)
C. Trading cum Self-Clearing Member (SCM)
D. Custodian
E. Professional Clearing Member (PCM)

Answer: B

Explanation:
A Trading Member.cum.Clearing Member (TCM) has trading as well as clearing rights. They can clear and settle their own trades as well as trades of other trading members and custodial participants. SCMs can only clear their own/client trades but not for custodian participants. PCMs do not have trading rights.

NEW QUESTION # 18
In the event of holidays affecting the settlement schedule, Clearing Corporations (CCs) follow specific guidelines to ensure smooth settlement. Which of the following statements accurately describes the procedure for sequential settlement and inter-depository transfers?

A. CCs club multiple settlements into a single netted obligation to avoid sequential processing delays.
B. Depositories must facilitate inter-depository transfers within one hour and before the pay-in for the subsequent settlement begins.
C. CCs prioritize the settlement with the highest value regardless of the chronological order of trade dates.
D. Settlements are postponed to the next working week to ensure all banks are operational.
E. The pay-out from the first settlement is blocked for 24 hours and cannot be used for the subsequent settlement's pay-in.

Answer: B

Explanation:
To meet pay-in obligations for subsequent settlements during holidays, members may need to move securities from one depository to another. The depositories shall, therefore, facilitate the inter-depository transfers within one hour and before pay-in for the subsequent settlement begins.

NEW QUESTION # 19
If a clearing member fails to fulfill the margin obligations, the clearing agency has the authority to initiate disciplinary actions without further notice. Which of the following is explicitly listed as a potential action in such a scenario?

A. Mandatory conversion of the clearing member to a trading-only member.
B. Permanent cancellation of the certificate of registration.
C. Withdrawal of trading facilities and/or clearing facility and close out of outstanding positions.
D. Seizure of the member's personal assets outside the clearing system.
E. Transfer of client positions to the Investor Protection Fund.

Answer: C

Explanation:
Non-fulfilment of margin obligations allows the clearing agency to, at its discretion and without further notice, initiate disciplinary action inter-alia including withdrawal of trading facilities and/or clearing facility, close out of outstanding positions, imposing penalties, collecting appropriate deposits, and invoking bank guarantees/fixed deposit receipts.

NEW QUESTION # 20
Regarding the execution of transfer instructions, under what condition is a Depository Participant (DP) permitted to register the transfer of securities from a beneficial owner's account?

A. Based on a standing instruction from the Stock Exchange for all accounts
B. Immediately upon receipt of a market rumour regarding the security
C. Only on receipt of instructions from the beneficial owner and thereafter confirming the same to the beneficial owner
D. Whenever the account balance falls below the minimum required balance
E. Upon implied consent derived from the client's trading pattern

Answer: C

Explanation:
A participant shall register the transfer of securities to or from a beneficial owner's account only on receipt of instructions from the beneficial owner and thereafter confirm the same to the beneficial owner.

NEW QUESTION # 21
Under the SEBI (Prohibition of Fraudulent and Unfair Trade Practices relating to the Securities Market) Regulations, 2003, specific activities are defined as manipulative or unfair. Which of the following scenarios describes 'Front Running', a prohibited practice under these regulations?

A. Publishing a research report with false information to induce the sale of securities.
B. An insider trading in shares based on unpublished price sensitive information regarding a merger.
C. An intermediary buying securities in advance of a substantial client order effectively anticipating price movement due to that order.
D. Buying and selling securities between intermediaries to artificially inflate trading volumes without changing beneficial ownership.
E. Splitting a large order into smaller trades to minimize impact cost.

Answer: C

Explanation:
Front running involves the usage of non-public information to directly or indirectly buy or sell securities in advance of a substantial order, anticipating that the price may change when the information (the order) becomes public. This gives the broker an unfair advantage.

NEW QUESTION # 22
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