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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q137-Q142):

NEW QUESTION # 137
An investor wishes to lodge a complaint against a registered intermediary on the SCORES platform. Under the current limitation period guidelines, which of the following scenarios would likely lead to SEBI reserving the right to reject the complaint?

A. The date of the cause of action is more than one year old.
B. The investor has approached the intermediary, but received no communication, and the cause of action is 8 months old.
C. The investor has already initiated arbitration proceedings for the same matter.
D. The complaint is lodged within 6 months from the date the intermediary rejected the initial grievance.
E. The complaint is lodged immediately after the intermediary provided an unsatisfactory reply.

Answer: A

Explanation:
According to the guidelines for SCORES, the investor may lodge a complaint within one year from the date of cause of action. SEBI reserves its right to reject a complaint lodged on SCORES if the date of cause of action is more than one-year-old and/or the complainant has not taken up the complaint with the concerned entity prior to the said date.,

NEW QUESTION # 138
Select the correct combination of statements regarding the expiry cycle and settlement of Long Dated Index Options and Equity Index Futures in the Indian Securities Market.

A. Statement I: All Index Futures are physically settled. Statement II: Long dated options expire on the first Thursday of the quarter.
B. Statement I: Index Futures are physically settled. Statement II: Long dated options have a 3-year expiry cycle.
C. Statement I: All Index Futures are cash settled. Statement II: Long dated options are available up to a 5-year expiry cycle with quarterly and half-yearly expiries.
D. Statement I: Index Futures expire on the last Friday of the month. Statement II: Long dated options follow only a monthly expiry cycle.
E. Statement I: Index Futures are cash settled. Statement II: Long dated options have a maximum expiry of 12 months.

Answer: C

Explanation:
The source states: 'All Index future and option contracts are cash settled.' Regarding expiry cycles: 'Monthly index contracts generally have 3-month expiry cycle except for the long dated options contracts which are available up to 5-year expiry cycle with quarterly expiries (March, June, Sept & Dec cycle) and half yearly expiries (Jun, Dec cycle).'

NEW QUESTION # 139
Distinguishing the roles of market segments is vital for understanding capital formation. Which statement correctly identifies the primary interaction dynamic in the Secondary Market compared to the Primary Market?

A. The issuer has direct contact with the investor to raise new capital.
B. It is used primarily for Initial Public Offers (IPOs) and Rights Issues.
C. The settlement is always done directly between the issuer and the clearing corporation.
D. Dealings are strictly between two investors, and the issuer does not come into the picture.
E. It ensures availability of adequate capital at reasonable rates for expansion.

Answer: D

Explanation:
The source clarifies that in the primary market, the issuer has direct contact with the investor. In contrast, in the secondary market, the dealings are between two investors and the issuer does not come into the picture. The secondary market provides liquidity/transferability to existing securities.

NEW QUESTION # 140
Which of the following statements accurately describe the application of the 'Close Out' procedure by the Clearing Corporation? (Select all that apply)

A. The close out price is strictly fixed at the closing price of the trade day for all scenarios.
B. Any surplus proceeds from a close out are credited to the defaulting party's settlement account.
C. Delivery shortages in securities undergoing corporate action are directly closed out.
D. Close out is conducted if an auction for short delivery finds no sellers.
E. Securities under 'Trade for Trade' category are subject to direct close out without an auction.

Answer: C,D,E

Explanation:
Option A is correct: Close out happens if auction finds no sellers. Option B is correct: Securities in trade for trade are directly closed out. Option D is correct: Securities under corporate action are directly closed out. Option C is incorrect because surplus is credited to Core SGF. Option E is incorrect because the price formula involves highest price or 20% mark-up.

NEW QUESTION # 141
Under the regulatory framework defined in Section 24 of the Companies Act, 2013, the administration of specific provisions for listed companies (or those proposed to be listed) is delegated to the Securities and Exchange Board of India (SEBI). Which of the following matters is EXCLUSIVELY administered by SEBI under this delegation, while remaining otherwise under the Central Government's administration?

A. Registration of the company's memorandum of association
B. Conduct of Annual General Meetings
C. Incorporation of the company
D. Non-payment of dividend
E. Appointment of key managerial personnel

Answer: D

Explanation:
Section 24 of the Companies Act, 2013, delegates the power to regulate the issue and transfer of securities and the non-payment of dividend by listed companies (or those intending to get listed) to SEBI. All other provisions of the Companies Act are administered by the Central Government (Ministry of Corporate Affairs).

NEW QUESTION # 142
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