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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Market Microstructure	12%	- Market indices and their calculation - Trading mechanisms and order types - Price discovery and market efficiency
Topic 2: Technology in Securities Markets	8%	- Emerging technologies and their impact - Systems for trading, clearing and settlement - Data security and business continuity
Topic 3: Securities Market Overview	10%	- Market participants and their roles - Structure and segments of Indian securities market - Types of securities and products
Topic 4: Clearing and Settlement	15%	- Clearing process and roles of clearing corporations - Settlement cycle and mechanisms - Delivery versus payment and settlement guarantee
Topic 5: Regulatory Framework	15%	- Code of conduct and ethical practices - Compliance requirements for intermediaries - SEBI Act, Rules and Regulations
Topic 6: Risk Management and Margining	18%	- Risk monitoring and control measures - Types of risks in securities operations - Margining systems and methodologies
Topic 7: Trading Operations	15%	- Front office functions and processes - Client onboarding and KYC norms - Order management and trade execution
Topic 8: Investor Protection	7%	- Investor rights and grievances redressal - Mechanisms for dispute resolution - Investor education and awareness initiatives

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

NEW QUESTION # 205
In the event of a failure by a selling broker to deliver securities in the normal T+1 rolling settlement, the Clearing Corporation initiates a
'Close Out' procedure if the auction fails or is not applicable. Consider a scenario where a trade was executed on Monday (T) at Rs. 500.
The auction was scheduled for Tuesday (T+1 ) but no shares were offered. The highest price prevailing across the Exchange from Monday to Tuesday was Rs. 540. The official closing price on Tuesday (Close-out day) was Rs. 550. At what price will the transaction be closed out?

A. Rs. 600 (Highest price + 20% penalty)
B. Rs. 660 (20% above the official closing price on the close out day)
C. Rs. 648 (20% above the highest prevailing price)
D. Rs. 550 (Official closing price on Close-out day)
E. Rs. 540 (Highest price from T to Close-out day)

Answer: B

Explanation:
According to the Close Out Procedure, 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. Calculation: Highest Price = Rs. 540.20% over Closing Price on Close out day = 550 + (20% of 550) = 550 + 110 = Rs. 660. Since 660 > 540, the close out price is Rs. 660.

NEW QUESTION # 206
Which of the following scenarios is explicitly EXEMPT from the mandatory periodic settlement of running accounts for funds?

A. Clients trading in the derivatives segment only.
B. Clients who have logged into their trading account at least once in the last 30 days.
C. Clients who have a credit balance of less than Rs. 1 lakh.
D. Institutional clients settling trades through custodians.
E. High Net Worth Individuals (HNls) who have provided a written waiver.

Answer: D

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 # 207
Which of the following operational parameters and exclusions are correctly associated with the framework for the beta version of the T+0 rolling settlement cycle? (Select all that apply)

A. Trading is not permitted on the Ex-date of securities.
B. The price band is fixed at +1-5% relative to the T+1 market price without re-calibration.
C. Pre-Open, Special Pre-Open, and Post close sessions are not applicable.
D. Security shortages are handled through a dedicated auction session on T+0 day.
E. Pay-in for sell obligations is allowed only via Early Pay-In using the block mechanism.

Answer: A,C,E

Explanation:
Option A is correct: No trading for T+0 settlement on Ex-date of securities. Option C is correct: Pre-Open, Special Pre-Open, and Post close sessions are not applicable. Option D is correct: Pay-in is allowed only by way of early pay-in using block mechanism. Option B is incorrect as auctions are not conducted (direct close-out applies). Option E is incorrect as the price band is +1- 100 bps with re-calibration.

NEW QUESTION # 208
Every clearing member is required to maintain a separate primary clearing account with a designated clearing bank. Which of the following operational restrictions applies to this account regarding withdrawals?

A. Funds can be withdrawn only after obtaining a No Objection Certificate (NOC) from the Stock Exchange.
B. Withdrawals are limited to 50% of the account balance on any given day.
C. Funds can be withdrawn only in the self-name of the clearing member.
D. Withdrawals are strictly prohibited; funds must only be used for settlement obligations.
E. Funds can be withdrawn directly to third-party vendor accounts for operational expenses.

Answer: C

Explanation:
According to the source, 'Clearing members can deposit funds into these accounts in any form and can withdraw funds from these accounts only in self-name'. This account is to be used exclusively for clearing and settlement operations.

NEW QUESTION # 209
Which mechanism enables the Clearing Corporation to act as a legal counterparty to all trades, thereby becoming the buyer to every seller and the seller to every buyer, to ensure settlement guarantee and manage default risks?

A. Novation
B. Trade Enrichment
C. Dematerialization
D. Multilateral Netting
E. Interoperability

Answer: A

Explanation:
The Clearing Corporation acts as a legal counterparty to all trades through the process called novation. In this process, the Clearing Corporation becomes the buyer to every seller and the seller to every buyer, ensuring settlement even if a broker/clearing member defaults.

NEW QUESTION # 210
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