Free PDF Quiz 2026 NISM-Series-VII: High Pass-Rate NISM Series VII - Securities Operations and Risk Management Certification Valid Test Experience

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Indian Securities Market	- Overview of the Indian securities market 1. Various market participants and their roles 2. Different products traded
Investor Grievance Redressal	- Process of investor grievances redressal 1. Procedures for handling complaints 2. Regulatory requirements
Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Clearing and settlement process 2. Role of the back office in a securities broking firm
Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Settlement processing 2. Risk management 3. Trade execution
Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Regulatory oversight 2. Investor protection
Risk Management	- Risk management in a securities broking firm 1. Compliance and control measures 2. Identifying and mitigating risks

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NISM-Series-VII Mock Exams & Valid NISM-Series-VII Test Papers

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q133-Q138):

NEW QUESTION # 133
Regarding the settlement timelines for Mutual Fund transactions executed on the Stock Exchange platform, which of the following statements accurately describes the funds pay-in requirement for subscription and the funds pay-out timeline for redemption?

A. Funds pay-in for subscription: T+0; Funds pay-out for redemption: T+0 for Liquid funds and T+2 for Equity funds.
B. Funds pay-in for subscription: T+0; Funds pay-out for redemption: T+1 to T+7 depending on the scheme.
C. Funds pay-in for subscription: T+1 ; Funds pay-out for redemption: T+1 for all schemes.
D. Funds pay-in for subscription: T+1 ; Funds pay-out for redemption: T+2.
E. Funds pay-in for subscription: T+2; Funds pay-out for redemption: T+3.

Answer: B

Explanation:
Funds pay-in for subscription are done on a T+0 day basis. The transfer of funds for redemption is carried out on a T+1 , T+2, T+3, T+4, T+5, T+6 and T+7 basis depending upon the category of scheme.

NEW QUESTION # 134
To enable the validation of Pay-In instructions by Depositories, what is the specific role and timeline mandated for Clearing Corporations (CCs) in this process?

A. CCs must validate the ISINs in the client account against the Exchange master list on T-1 day.
B. CCs shall provide client-wise net delivery obligations on T day to the depositories.
C. CCs must generate a physical delivery instruction slip for every client obligation by T+1 morning.
D. CCs must approve every individual transfer instruction manually before execution on the settlement day.
E. CCs shall transfer the securities from the client account to the pool account directly without Depository intervention.

Answer: B

Explanation:
The process requires that 'CCs shall provide client - wise net delivery obligations on T day to the depositories.' The Depositories then use this data to validate the transfer instructions.

NEW QUESTION # 135
Which of the following statements accurately reflect the regulatory framework and exposure limits for Margin Trading Facility (MTF)?
(Select all that apply)

A. Stock brokers must obtain prior permission from the exchange before offering MTF.
B. Stock brokers shall disclose gross exposure towards MTF to the Stock Exchanges on or before 6:00 PM on T+1 day.
C. Exposure to any single client at any point of time shall not exceed 20% of the broker's maximum allowable exposure.
D. Collateral and Funded stocks need not be marked to market daily if they are Group 1 securities.
E. Only corporate brokers with a net worth of at least Rs. 3 crore are eligible to provide MTF.

Answer: A,B,E

Explanation:
Statement A is correct (Net worth min Rs. 3 Cr). Statement C is correct (Prior permission required). Statement E is correct (Disclosure by 6 PM on T+1 day). Statement B is incorrect because the single client exposure limit is 10%, not 20%. Statement D is incorrect because Collateral and Funded stocks shall be marked to market on a daily basis.

NEW QUESTION # 136
Clearing Corporations are required to conduct various tests to ensure the adequacy of the Core SGF. What is the specific purpose of the 'Reverse Stress Test' as defined in the risk management framework?

A. To validate the accuracy of the software used for margin calculation.
B. To test the operational capability of the backup disaster recovery site.
C. To calculate the historical volatility of the most liquid securities over the past 5 years.
D. To identify under which market conditions and scenarios the combination of margins, Core SGF, and other financial resources would prove insufficient.
E. To determine the daily settlement price of illiquid futures contracts.

Answer: D

Explanation:
The source defines Reverse stress test as: 'CC shall periodically carry out reverse stress tests designed to identify under which market conditions and under what scenarios the combination of its margins, Core SGF and other financial resources prove insufficient to meet its obligations'.

NEW QUESTION # 137
Why are Institutional Investors (including Foreign Portfolio Investors) explicitly excluded from the mechanism of Net Settlement of cash segment and physical settlement of F&O segment upon expiry?

A. Because their trading volumes are too high to be accommodated in a net settlement process.
B. Because they trade through Custodians who do not have clearing rights in the F&O segment.
C. Because they are subject to different tax treaties which prevent segment-wise netting.
D. Because the extant regulatory framework specifies that all transactions by institutional investors in the cash market should be backed by delivery.
E. Because they are not required to pay margins in the F&O segment.

Answer: D

Explanation:
Netting of settlement obligations of cash segment and physical settlement of F&O segment shall not be available for the institutional investors (including all categories of FPIs) since the extant regulatory framework specifies that all transactions by the institutional investors (including all categories of Foreign Portfolio Investors) in cash market should be backed by delivery.

NEW QUESTION # 138
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