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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Securities Market Operations	- Trading process 1. Trade confirmation and reporting 2. Order execution and trade lifecycle - Market participants and structure 1. Roles of brokers, exchanges, and investors 2. Order types and trading mechanism basics
Risk Management in Securities Markets	- Risk mitigation systems 1. Surveillance and compliance mechanisms 2. Margins and collateral systems - Market and operational risk 1. Operational risk controls 2. Types of financial risks
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
Depository Operations	- Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles - Corporate actions 1. Dividends, bonuses, splits 2. Record dates and entitlement processing

NISM Series VII - Securities Operations and Risk Management Certification Sample Questions:

Question 1

According to the SEBI circular dated April 05, 2022, regarding the use of Unified Payment Interface (UPI) in public issues of equity shares, which specific category of investors is mandated to use UPI and provide their UPI ID in the bid-cum-application form?

A. Non-lnstitutional Investors (NIIs) applying above Rs. 2 Lakhs.
B. All Individual Investors applying in Public issues where the application amount is up to 5 Lakhs.
C. Anchor Investors applying during the anchor book period.
D. All Retail Individual Investors applying for any amount.
E. Qualified Institutional Buyers (QIBs) applying up to Rs. 2 Lakhs.

Question 2

Regarding 'Market Makers' in the Indian securities market, which of the following statements regarding their mandatory obligations is correct?

A. Market making is voluntary for all scrips listed on Small and Medium Enterprise (SME) Exchanges
B. Market makers are required to provide only buy quotes to ensure exit options for investors
C. Market making has been made mandatory in respect of all scrips listed and traded on SME Exchanges
D. Market making is restricted to the derivatives segment only
E. Market makers are appointed solely by SEBI and not by the Exchanges

Question 3

Which of the following statements accurately reflect the operational rules and fee structures of the Online Dispute Resolution (ODR) mechanism? (Select all that apply)

A. Initiation of the conciliation process after six months from the date of the dispute requires payment of a late fee of Rs 1 ,000 by the initiator.
B. The ODR Portal allocates disputes to ODR Institutions based on a competitive bidding system for fees.
C. If a Market Participant initiates the dispute resolution process, the fees shall be borne by the MIIs and not the Market Participant.
D. The Market Participant is strictly prohibited from shifting the incidence of fees and charges to the investor/client.
E. For claims of Rs 1 or below, the Sole Arbitrator shall conduct a document-only arbitration process unless a hearing is specifically granted.

Question 4

To increase efficiency and reduce the time duration from issue closure to listing, a new timeline was introduced for public issues opening on or after December 1, 2023. What is this mandated timeline for listing?

A. T+6 days
B. T+5 days
C. T+3 days
D. T+1 days
E. T+2 days

Question 5

While institutional trades generally do not attract upfront margins, specific categories of institutional investors are subject to upfront margining similar to non-institutional trades. Identify the category from the list below.

A. Insurance Companies registered with IRDAI
B. Category I Foreign Portfolio Investors (Sovereign Wealth Funds)
C. Mutual Funds registered with SEBI
D. Category II FPIs who are corporate bodies, individuals, or family offices
E. Public Financial Institutions defined under the Companies Act

Solutions:

Question 1
Answer: B

Question 2
Answer: C

Question 3
Answer: A,D,E

Question 4
Answer: C

Question 5
Answer: D