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NISM NISM-Series-VII Questions & Answers - in .pdf

NISM-Series-VII pdf
  • Total Q&A: 334
  • Update: Sep 06, 2026
  • Price: $59.99
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  • Vendor: NISM
  • Exam Code: NISM-Series-VII
  • Exam Name: NISM Series VII - Securities Operations and Risk Management Certification
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NISM NISM-Series-VII Q&A - Testing Engine

NISM-Series-VII Study Guide
  • Total Q&A: 334
  • Update: Sep 06, 2026
  • Price: $59.99
Testing Engine
  • Vendor: NISM
  • Exam Code: NISM-Series-VII
  • Exam Name: NISM Series VII - Securities Operations and Risk Management Certification
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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Topic 1: Securities Market Operations- Trading process
  • 1. Order execution and trade lifecycle
    • 2. Trade confirmation and reporting
      - Market participants and structure
      • 1. Order types and trading mechanism basics
        • 2. Roles of brokers, exchanges, and investors
          Topic 2: 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
                  Topic 3: Clearing and Settlement- Clearing mechanisms
                  • 1. Netting and settlement obligations
                    • 2. Clearing corporations and counterparties
                      - Settlement systems
                      • 1. T+1/T+2 settlement cycles
                        • 2. Margining and risk adjustments
                          Topic 4: Depository Operations- Demat account framework
                          • 1. Account opening and maintenance
                            • 2. NSDL and CDSL roles
                              - Corporate actions
                              • 1. Record dates and entitlement processing
                                • 2. Dividends, bonuses, splits

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

                                  Question 1

                                  Under what specific circumstance is a broker or client strictly **prohibited** from unblocking securities that have been blocked in favour of the Clearing Corporation?

                                  A. If the Early Pay-In (EPI) benefit has already been provided by the Clearing Corporation to the client for those securities.
                                  B. If the client has an outstanding margin obligation in the derivatives segment.
                                  C. If the market price of the security increases by more than 5% during the trading day.
                                  D. If the block was created using a physical Delivery Instruction Slip (DIS) instead of eDlS.
                                  E. If the Trading Member has not yet transferred the securities to the Clearing Member's pool account.


                                  Question 2

                                  SEBI designates certain stock brokers as 'Qualified Stock Brokers' (QSBs) based on specific parameters to ensure appropriate governance and risk management. Which of the following parameters are explicitly considered for designating a stock broker as a QSB?
                                  (Select all that apply)

                                  A. The proprietary trading volumes of the stock broker.
                                  B. The total number of active clients of the stock broker.
                                  C. The net worth of the stock broker's promoter group.
                                  D. The number of sub-broker offices managed by the stock broker.
                                  E. The available total assets of clients with the stock broker.


                                  Question 3

                                  Based on the Securities Contract Regulation Act (SCRA), 1956, select all the instruments that are explicitly included in the definition of 'Securities' from the list below.

                                  A. Electronic Gold Receipts
                                  B. Private Promissory Notes between individuals
                                  C. Zero Coupon Zero Principal Instruments
                                  D. Derivatives
                                  E. Government Securities


                                  Question 4

                                  Under the framework for 'Upstreaming of clients' funds', how should a Trading Member (TM) handle the funds received from clients whose running accounts have been settled?

                                  A. The funds can be used to settle the running accounts of other clients to ensure liquidity.
                                  B. The funds must be immediately transferred to the TM's proprietary account.
                                  C. The funds should be invested in equity mutual funds to generate returns for the client.
                                  D. The funds must remain in the 'Up Streaming Client Nodal Bank Account' and cannot be used for settlement of running accounts of other clients.
                                  E. The funds can be used for the TM's operational expenses provided they are replaced within 24 hours.


                                  Question 5

                                  In the context of the settlement mechanism for institutional transactions, if a Custodian rejects a trade allocated to them by a broker, how is the settlement of such a rejected trade processed?

                                  A. The trade is transferred to the broker's error account for liquidation.
                                  B. The settlement is deferred to T+2 to allow for re-confirmation.
                                  C. The Clearing Corporation settles the trade using the Core Settlement Guarantee Fund.
                                  D. The trade is annulled by the Stock Exchange immediately.
                                  E. The trade is settled through the Delivery Versus Payment (DVP) basis.


                                  Solutions:

                                  Question 1
                                  Answer: A                                  		Question 2
                                  Answer: A,B,E                                  		Question 3
                                  Answer: A,C,D,E                                  		Question 4
                                  Answer: D                                  		Question 5
                                  Answer: E

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                                  NISM-Series-VII - NISM Series VII - Securities Operations and Risk Management Certification
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