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NISM NISM-Series-VII Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Securities Market Overview | 10% | - Types of securities and products - Structure and segments of Indian securities market - Market participants and their roles |
| Topic 2: Investor Protection | 7% | - Mechanisms for dispute resolution - Investor rights and grievances redressal - Investor education and awareness initiatives |
| Topic 3: Technology in Securities Markets | 8% | - Data security and business continuity - Emerging technologies and their impact - Systems for trading, clearing and settlement |
| Topic 4: Risk Management and Margining | 18% | - Types of risks in securities operations - Risk monitoring and control measures - Margining systems and methodologies |
| Topic 5: Trading Operations | 15% | - Order management and trade execution - Front office functions and processes - Client onboarding and KYC norms |
| Topic 6: Regulatory Framework | 15% | - Compliance requirements for intermediaries - SEBI Act, Rules and Regulations - Code of conduct and ethical practices |
| Topic 7: Market Microstructure | 12% | - Price discovery and market efficiency - Trading mechanisms and order types - Market indices and their calculation |
| Topic 8: Clearing and Settlement | 15% | - Clearing process and roles of clearing corporations - Settlement cycle and mechanisms - Delivery versus payment and settlement guarantee |
NISM Series VII - Securities Operations and Risk Management Certification Sample Questions:
A registered Trading Member desires to clear and settle trades executed by them on their own account as well as for their clients. However, they specifically do not intend to clear trades for 'Custodial Participants'. Which category of membership on the Clearing Corporation corresponds strictly to these operational rights and limitations?
- A. Trading cum Self-Clearing Member (SCM)
- B. Trading Member-cum-Clearing Member (TCM)
- C. Professional Clearing Member (PCM)
- D. Authorized Person
- E. Custodian
Correct Answer: A 🗳️
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In the process of Broker Netting with the Clearing Corporation, what is the sequence of events regarding the determination of obligations?
- A. Multilateral netting -> List of transactions sent to member -> Pay-in/Pay-out confirmation.
- B. List of transactions sent to member -> Multilateral netting -> Members informed of amount/securities to receive/pay.
- C. Pay-in of funds Multilateral netting -> Pay-out of securities.
- D. Gross settlement determination Netting within firm Multilateral netting.
- E. Bilateral netting between brokers -> Confirmation to CC -> Settlement.
Correct Answer: B 🗳️
Explanation: Only visible for Prep4sureExam members. You can sign-up / login (it's free).
A Trading Member executes the following trades in a specific scrip on a given day:
* Buy 500 shares @ Rs. 100
* Sell 300 shares @ Rs. 105
* Buy 200 shares @ Rs. 95
What are the final Net Quantity and Net Fund obligations for the member to be settled with the Clearing Corporation?
- A. Net Qty: 0; Net Funds: Receive Rs. 1,500
- B. Net Qty: 400 (Receive); Net Funds: Pay Rs. 69,000
- C. Net Qty: 400 (Receive); Net Funds: Pay Rs. 37,500
- D. Net Qty: 400 (Deliver); Net Funds: Receive Rs. 37,500
- E. Net Qty: 1000 (Receive); Net Funds: Pay Rs. 100,500
Correct Answer: C 🗳️
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Every Depository Participant (DP) is required to abide by a specific Code of Conduct. Which regulation explicitly specifies this Code of Conduct in its Third Schedule?
- A. SEBI (Prohibition of Insider Trading) Regulations, 2015
- B. SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015
- C. Depositories Act, 1996
- D. SEBI (Depository & Participants) Regulations, 2018
- E. SEBI (Intermediaries) Regulations, 2008
Correct Answer: D 🗳️
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In the context of the 'Trade to trade' or 'Gross obligations' method for determining settlement obligations, how are a member's funds obligations calculated?
- A. Funds pay-in is equivalent to the cumulative value of buy transactions, and funds pay-out is equivalent to the cumulative sell value.
- B. Funds pay-in is the net of cumulative buy and sell values, while funds pay-out is zero.
- C. Funds pay-in is the cumulative buy value minus 20% margin, and pay-out is the cumulative sell value.
- D. Funds obligations are determined solely based on the netted quantity of securities delivered.
- E. Funds pay-in and pay-out are both calculated on a netted basis across all clients.
Correct Answer: A 🗳️
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