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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
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. Margining and risk adjustments 2. T+1/T+2 settlement cycles - Clearing mechanisms 1. Netting and settlement obligations 2. Clearing corporations and counterparties
Topic 3: Depository Operations	- Demat account framework 1. NSDL and CDSL roles 2. Account opening and maintenance - Corporate actions 1. Dividends, bonuses, splits 2. Record dates and entitlement processing
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. Types of financial risks 2. Operational risk controls

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q205-Q210):

NEW QUESTION # 205
Regarding the utilization of proceeds generated from an Auction or Close-out procedure, what is the regulatory requirement for handling any residual amount remaining after settling the claim of the aggrieved party?

A. It must be credited to the Investor Protection Fund (IPF) of the Exchange.
B. It is returned to the defaulting member after deducting a 1% processing fee.
C. It should be credited to the Core Settlement Guarantee Fund (Core SGF).
D. It is transferred to the SEBI General Fund.
E. It is distributed equally among all non-defaulting clearing members.

Answer: C

Explanation:
The proceeds from Auction or Close-out should be used to settle the claim of the aggrieved party. Any amount remaining thereof should be credited to the Core Settlement Guarantee Fund ('Core SGF') instead of crediting it to the defaulting party's account.

NEW QUESTION # 206
Under the SCORES 2.0 mechanism, complaints are monitored by a 'Designated Body' to ensure timely redressal. Who acts as the Designated Body for complaints lodged against a Stock Broker?

A. The Association of Mutual Funds in India (AMFI)
B. The Investor Protection Fund Trust
C. The Stock Exchange
D. Securities and Exchange Board of India (SEBI)
E. The Depository (NSDL or CDSL)

Answer: C

Explanation:
For a Stock Broker, the Stock Exchange is the Designated Body. The Designated Body ensures that the concerned Entity submits the Action Taken Reports (ATRs) within the stipulated time.

NEW QUESTION # 207
A 'Self Auction' mechanism is utilized to address 'Internal Shortages'. Which of the following scenarios best describes an internal shortage that necessitates this specific procedure?

A. The depository fails to transfer shares from the client beneficiary account to the pool account due to a system glitch.
B. A selling client fails to deliver shares to the member, but the member has no net obligation to the Clearing Corporation due to an offsetting purchase by another client of the same member.
C. A member utilizes client securities for proprietary trading resulting in a shortage during a surprise audit.
D. A member shorts a stock in the derivatives segment but holds the physical stock in the cash segment.
E. A member fails to deliver securities to the Clearing Corporation because of a shortfall in the Clearing Member Pool Account.

Answer: B

Explanation:
Internal shortages occur when a selling client fails to deliver shares to the trading member, but due to netting (a purchase transaction by another buying client in the same security), the member has no delivery obligation to the Clearing Corporation. In such cases, the member requires shares to deliver to the buying client, and an auction (Self Auction) is conducted to procure these shares,.

NEW QUESTION # 208
In the context of the 'SEBI Complaints Redress System (SCORES 2.0)', which of the following accurately describes the 'Review' mechanism available to a complainant who is dissatisfied with the resolution provided by the regulated entity?

A. A mandatory arbitration process initiated automatically upon dissatisfaction.
B. A review by the Investor Service Centre of the nearest Stock Exchange within 30 days.
C. No review option is available; the complainant must approach the civil court immediately.
D. A single-level review conducted directly by the Securities Appellate Tribunal (SAT).
E. Two levels of review: First by the 'Designated Body' and Second by SEBI.

Answer: E

Explanation:
SCORES 2.0 provides two levels of review: First review by the 'Designated Body' if the investor is dissatisfied with the resolution provided by the concerned regulated entity. Second review by SEBI if the investor is still dissatisfied after the first review.

NEW QUESTION # 209
Which of the following statements correctly describe the operational framework for the settlement of institutional transactions in the Cash Segment? (Select all that apply)

A. The custodian settles their deliveries on a gross basis with the stock exchanges.
B. It is mandatory for all institutional trades to be processed through the Straight Through Processing (STP) system.
C. Institutional investors are permitted to square off their transactions intra-day (Day Trading).
D. The Custodial Participant (CP) Code must be entered at the time of order entry.
E. All transactions are grossed for institutional investors at the custodian level for obligation fulfillment.

Answer: B,D,E

Explanation:
Statement A is correct (Mandatory STP). Statement C is correct (Transactions grossed at custodian level for investor obligation). Statement E is correct (Mandatory CP code at order entry). Statement B is incorrect (Day trading prohibited). Statement D is incorrect because the custodian continues to settle their deliveries on a *net basis* with the stock exchanges/clearing corporation, even though the client obligation is gross.

NEW QUESTION # 210
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