Exam Name: NISM Series VII - Securities Operations and Risk Management Certification
Certification Provider: NISM
Corresponding Certification: National Institute of Securities Markets
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NISM NISM-Series-VII Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Technology in Securities Markets | 8% | - Data security and business continuity - Systems for trading, clearing and settlement - Emerging technologies and their impact |
| Topic 2: Trading Operations | 15% | - Order management and trade execution - Front office functions and processes - Client onboarding and KYC norms |
| Topic 3: Regulatory Framework | 15% | - SEBI Act, Rules and Regulations - Code of conduct and ethical practices - Compliance requirements for intermediaries |
| Topic 4: Risk Management and Margining | 18% | - Types of risks in securities operations - Margining systems and methodologies - Risk monitoring and control measures |
| Topic 5: Clearing and Settlement | 15% | - Settlement cycle and mechanisms - Delivery versus payment and settlement guarantee - Clearing process and roles of clearing corporations |
| Topic 6: Securities Market Overview | 10% | - Types of securities and products - Structure and segments of Indian securities market - Market participants and their roles |
| Topic 7: Market Microstructure | 12% | - Market indices and their calculation - Price discovery and market efficiency - Trading mechanisms and order types |
| Topic 8: Investor Protection | 7% | - Investor education and awareness initiatives - Investor rights and grievances redressal - Mechanisms for dispute resolution |
NISM Series VII - Securities Operations and Risk Management Certification Sample Questions:
In the context of the clearing and settlement ecosystem, the Clearing Corporation assumes the role of a legal counterparty to all trades executed on the Stock Exchange. What is the specific legal term for this process where the original contract between the buyer and seller is replaced by two new contracts with the Clearing Corporation?
- A. Arbitration
- B. Novation
- C. Indemnification
- D. Adjudication
- E. Subrogation
Correct Answer: B 🗳️
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Certain types of complaints fall outside the purview of the SEBI Complaints Redress System (SCORES). Which of the following is explicitly NOT dealt with through SCORES?
- A. Complaints against listed companies regarding non-receipt of dividends.
- B. Complaints against companies where a moratorium order is passed in insolvency proceedings.
- C. Complaints regarding unauthorized trading by a sub-broker.
- D. Complaints regarding dematerialization delays by a Depository Participant.
- E. Complaints against registered stock brokers regarding non-receipt of funds.
Correct Answer: B 🗳️
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In the context of the 'Application Supported by Blocked Amount' (ASBA) facility processed by intermediaries in public issues, what is the critical pre-condition explicitly mandated by SEBI before the ASBA applications can be processed?
- A. The General Index Register (GIR) number must be verified.
- B. The application must be uploaded to the Exchange bidding platform.
- C. The application monies must be blocked in the investor's bank account.
- D. The physical form must be received by the Registrar.
- E. The syndicate member must issue a physical acknowledgement slip.
Correct Answer: C 🗳️
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Based on the classification of membership in the Indian securities market, which of the following categories of members holds both trading and clearing rights but is explicitly restricted from clearing trades for custodian participants?
- A. Only Trading Member
- B. Trading Member-cum-Clearing Member (TCM)
- C. Trading cum Self-Clearing Member (SCM)
- D. Authorized Person
- E. Professional Clearing Member (PCM)
Correct Answer: C 🗳️
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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+3 days
- B. T+2 days
- C. T+6 days
- D. T+5 days
- E. T+1 days
Correct Answer: A 🗳️
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