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NISM NISM-Series-VII Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Risk Management and Margining | 18% | - Types of risks in securities operations - Risk monitoring and control measures - Margining systems and methodologies |
| Topic 2: Technology in Securities Markets | 8% | - Emerging technologies and their impact - Data security and business continuity - Systems for trading, clearing and settlement |
| Topic 3: Regulatory Framework | 15% | - Compliance requirements for intermediaries - SEBI Act, Rules and Regulations - Code of conduct and ethical practices |
| Topic 4: Clearing and Settlement | 15% | - Delivery versus payment and settlement guarantee - Clearing process and roles of clearing corporations - Settlement cycle and mechanisms |
| Topic 5: Investor Protection | 7% | - Investor rights and grievances redressal - Mechanisms for dispute resolution - Investor education and awareness initiatives |
| Topic 6: Market Microstructure | 12% | - Market indices and their calculation - Trading mechanisms and order types - Price discovery and market efficiency |
| Topic 7: Securities Market Overview | 10% | - Types of securities and products - Market participants and their roles - Structure and segments of Indian securities market |
| Topic 8: Trading Operations | 15% | - Client onboarding and KYC norms - Front office functions and processes - Order management and trade execution |
NISM Series VII - Securities Operations and Risk Management Certification Sample Questions:
Regarding the operational parameters for the beta version of the T+0 rolling settlement cycle, how is the price band determined and re-calibrated during the trading session?
- A. It is dynamically linked to the futures market price with a variance of 0.5%.
- B. It mirrors the price band of the T+1 market exactly, including any circuit breaker halts.
- C. It is fixed at +1-5% of the previous day's closing price without any intraday recalibration.
- D. It is set at +1- 10% of the opening price of the T+0 market and remains static throughout the continuous trading session.
- E. It operates with a price band of +100 basis points from the price in the regular T+1 market, re-calibrated after every 50 basis points movement in the underlying T+1 market.
Correct Answer: E 🗳️
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To ensure compliance with Margin Trading Facility (MTF) regulations, stock brokers are required to submit a certificate to the exchange.
What is the frequency and timeline for this submission?
- A. Annually; along with the Annual Returns by October 31st.
- B. Quarterly; within 15 days from the end of the quarter.
- C. Monthly; by the 7th of the succeeding month.
- D. Half-yearly; within one month from the half-year ending 31st March and 30th September.
- E. Event-based; within 7 days of exceeding the exposure limits.
Correct Answer: D 🗳️
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In the context of the Securities Trade Life Cycle, specific activities are categorized into Front Office, Middle Office, and Back Office operations. Based on the NISM workbook, which of the following combinations correctly maps these activities to their respective offices?
- A. Front Office: Risk Management; Middle Office: Order Matching; Back Office: Clearing and Settlement
- B. Front Office: Clearing; Middle Office: Risk Management; Back Office: Placing of Order
- C. Front Office: Trade Confirmation; Middle Office: Routing of order; Back Office: Order Matching
- D. Front Office: Settlement; Middle Office: Order Matching; Back Office: Risk Management
- E. Front Office: Routing of order; Middle Office: Risk Management; Back Office: Confirmation of trades
Correct Answer: E 🗳️
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For the purpose of corporate action adjustments in the Equity F&O segment, under what specific condition is a dividend deemed to be 'extra-ordinary', thereby necessitating an adjustment to the futures and options contracts?
- A. If the dividend yield exceeds the risk-free interest rate (MIBOR) prevailing on the declaration date.
- B. If the dividend is declared as an 'interim' dividend rather than a 'final' dividend.
- C. If the dividend amount exceeds 10% of the closing price of the scrip on the record date.
- D. If the dividend amount is at and above 2% of the market value of the underlying security.
- E. If the dividend declared is more than 5% of the paid-up capital of the company.
Correct Answer: D 🗳️
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For the purpose of identifying an 'extra-ordinary' dividend (which triggers adjustment in Equity F&O), the declared dividend must be at and above 2% of the market value of the underlying stock. How is this 'market price' specifically defined for the calculation?
- A. The closing price of the scrip on the record date fixed for the purpose of dividend payment.
- B. The average closing price of the scrip for the last 5 trading days prior to the record date.
- C. The volume-weighted average price (VWAP) of the scrip on the cum-dividend date.
- D. The closing price of the scrip on the day previous to the date on which the announcement of the dividend is made by the Company after the Board meeting.
- E. The closing price of the scrip on the date of the Annual General Meeting (AGM) where the dividend is approved.
Correct Answer: D 🗳️
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