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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Clearing and Settlement	- Settlement systems 1. T+1/T+2 settlement cycles 2. Margining and risk adjustments - Clearing mechanisms 1. Clearing corporations and counterparties 2. Netting and settlement obligations
Securities Market Operations	- Market participants and structure 1. Order types and trading mechanism basics 2. Roles of brokers, exchanges, and investors - Trading process 1. Order execution and trade lifecycle 2. Trade confirmation and reporting
Depository Operations	- Demat account framework 1. NSDL and CDSL roles 2. Account opening and maintenance - Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits
Risk Management in Securities Markets	- Market and operational risk 1. Types of financial risks 2. Operational risk controls - 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 (Q205-Q210):

NEW QUESTION # 205
In the context of facilitating Initial Public Offerings (IPO), how does the electronic trading infrastructure of broking firms specifically assist investors and the process?

A. Brokers' systems are connected with the Stock Exchanges' main IPO system, allowing for the online uploading of application forms.
B. Brokers fund the entire IPO application amount for the investor interest-free.
C. Brokers provide a guarantee of allotment to their registered clients for every IPO application.
D. Brokers physically collect all applications and manually courier them to the Registrar, bypassing the electronic system.
E. Brokers determine the IPO issue price through an internal book-building process independent of the exchange.

Answer: A

Explanation:
The text explains that 'The IPO process is facilitated by brokers as their system is connected with the stock Exchanges main IPO system and online uploading of forms is carried out. Thus, at any given time, the online status is available on the stock Exchanges.'

NEW QUESTION # 206
Regarding the usage of the 'INST' code in the Custodial Participant field during order entry for Foreign Portfolio Investors (FPIs), which of the following statements accurately reflects the restrictions placed on FPIs that are corporate bodies, individuals, or family offices?

A. The 'INST' facility is available, but allocation for such trades is allowed only to related FPIs.
B. They must use a special 'CORP' code instead of 'INST' to differentiate themselves from non-corporate institutional investors.
C. They are strictly prohibited from using the 'INST' code and must provide the specific CP code at the time of order entry.
D. They can use the 'INST' code without restriction, provided the allocation is completed by 4:15 PM on T day.
E. The 'INST' code can be used only if the trade value exceeds INR 10 Crores.

Answer: A

Explanation:
For FPIs that are corporate bodies, individuals, or family, the 'INST' facility is not available in the similar manner as of non-institutional CP codes. For these FPIs, allocation for 'INST' trades is allowed only to related FPIs.

NEW QUESTION # 207
What is the primary objective of the research reports (Fundamental, Stock, Sector, etc.) regularly brought out by stock brokers?

A. To fulfill the mandatory requirement of the Companies Act, 2013.
B. To manipulate the market price of illiquid securities.
C. To generate additional brokerage by encouraging excessive churning of portfolios.
D. To replace the role of the Investment Adviser completely.
E. To help the investor make informed investment decisions.

Answer: E

Explanation:
The text explicitly states: 'These reports are aimed at * *helping the investor make informed investment decisions**.'

NEW QUESTION # 208
In the T+1 rolling settlement cycle for institutional trades involving a Custodian, what is the specific deadline for the 'Obligation Transfer Request (OTR)' for trades where the 'INST' code was used?

A. 8:00 PM on T Day
B. 11:00 AM on T+1 Day
C. 4:15 PM on T Day
D. 9:00 AM on T+1 Day
E. 7:30 AM on T+1 Day

Answer: A

Explanation:
The general timeline for custodian-settled trades for institutional clients in T+1 rolling settlement specifies that the Obligation Transfer Request (OTR) for INST trades must be completed on T day up to 8:00 PM.

NEW QUESTION # 209
In the case of a declaration of 'extra-ordinary' dividend by a company, how is the adjustment applied to the Futures contracts on that stock?

A. The futures contract is compulsorily closed out and a new contract is introduced at the ex-dividend price.
B. No adjustment is made to futures contracts; adjustments are applicable only to option strike prices.
C. The market lot of the futures contract is increased in proportion to the dividend yield.
D. The total dividend amount is added to the Daily Settlement Price.
E. All open positions shall be carried forward at the daily settlement price less the dividend amount.

Answer: E

Explanation:
For extra-ordinary dividends, the regulation states that 'All open positions shall be carried forward at the daily settlement price less dividend amount for the respective futures contract.'

NEW QUESTION # 210
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