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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
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
          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
                  Depository Operations- Corporate actions
                  • 1. Record dates and entitlement processing
                    • 2. Dividends, bonuses, splits
                      - Demat account framework
                      • 1. NSDL and CDSL roles
                        • 2. Account opening and maintenance
                          Risk Management in Securities Markets- Market and operational risk
                          • 1. Operational risk controls
                            • 2. Types of financial risks
                              - Risk mitigation systems
                              • 1. Surveillance and compliance mechanisms
                                • 2. Margins and collateral systems

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q270-Q275):

                                  NEW QUESTION # 270
                                  If an auction seller, who participated to fulfill a short delivery, fails to deliver the securities on the auction pay-in day, the deal is closed out. What is the specific pricing formula used to charge the defaulting auction seller in this instance?

                                  Answer: B

                                  Explanation:
                                  When the auction seller fails to deliver the securities on the auction pay-in day, the deal will be closed out at the highest price prevailing across the Exchange from the day on which the trade was originally executed till the day of closing out or 20 percent over the official closing price on the close out day whichever is higher.


                                  NEW QUESTION # 271
                                  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?

                                  Answer: D

                                  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 # 272
                                  In the context of clearing membership on a Stock Exchange, identify the member category that possesses only clearing rights (no trading rights) and is authorized to clear and settle trades executed by both trading members and custodian participants.

                                  Answer: D

                                  Explanation:
                                  A Professional Clearing Member (PCM) has only clearing rights and does not have trading rights. They clear and settle trades executed by trading members and custodian participants. A TCM has both trading and clearing rights. An SCM clears only their own trades. A TM has no clearing rights.


                                  NEW QUESTION # 273
                                  Which of the following statements accurately describe the process and components of 'Delivery Settlement' in the equity F&O segment?
                                  (Select all that apply)

                                  Answer: A,B,D

                                  Explanation:
                                  Delivery Settlement applies to individual stock derivatives (not Index, which are cash settled). It considers all open futures positions after close of trading on expiry day and all in-the-money option contracts which are exercised and assigned. The final position at a clearing member is arrived at after netting the obligations of all clients/constituents/trading members clearing through the respective clearing member.


                                  NEW QUESTION # 274
                                  Stock brokers bring out regular research reports for their clients. Which of the following is NOT explicitly listed in the NISM workbook as a type of research report typically provided by brokers?

                                  Answer: A

                                  Explanation:
                                  The source explicitly lists the following types of reports: "Fundamental Research, Stock Research, Daily/weekly/fortnightly/monthly newsletters, Special Reports to cater to needs of some investors, and Sector Reports* *. 'High-Frequency Arbitrage Reports' is not mentioned in this list.


                                  NEW QUESTION # 275
                                  ......

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