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NISM NISM-Series-VII Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Trade Life Cycle | - Steps and participants involved in the trade life cycle
|
| Topic 2: Investor Grievance Redressal | - Process of investor grievances redressal
|
| Topic 3: Securities Broking Operations | - Front Office, Middle Office and Back Office functions in a Securities Broking Firm
|
| Topic 4: Regulatory Framework | - Role of the Securities and Exchange Board of India (SEBI)
|
| Topic 5: Indian Securities Market | - Overview of the Indian securities market
|
| Topic 6: Risk Management | - Risk management in a securities broking firm
|
NISM Series VII - Securities Operations and Risk Management Certification Sample Questions:
For Futures Contracts on Individual Securities, which price is used as the 'Final Settlement Price' on the last trading day?
- A. The theoretical price calculated using the cost of carry model.
- B. The last traded price (LTP) of the underlying security on the primary exchange.
- C. The closing price of the relevant underlying security in the Capital Market Segment across exchanges.
- D. The closing price of the futures contract on the expiry day.
- E. The weighted average price of the underlying security during the last 30 minutes of trading.
Correct Answer: C 🗳️
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According to the requirements for maintaining books of account, what specific details must be recorded in the 'Register of Transactions' (Sauda Book)?
- A. Each transaction effected, showing the name of the security, its value, rates gross and net of brokerage, and names of the clients.
- B. General expenses, overheads, salaries, and petty cash adjustments for the broking firm.
- C. Only the net obligation of funds and securities to be settled with the Clearing Corporation.
- D. Details of all dematerialized securities held in the broker's pool account and beneficiary account.
- E. Receipts and payments of funds involving clients, distinguishing between margin and settlement obligations.
Correct Answer: A 🗳️
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Which of the following statements accurately describe the principles and methodology for Corporate Actions Adjustment in the Equity F&O segment? (Select all that apply)
- A. Adjustments may entail modifications to Strike Price, Position, and Market Lot I Multiplier.
- B. The adjustments for corporate actions would be carried out on all open positions.
- C. The basis for adjustment is that the value of the position on the cum-date and ex-date shall continue to remain the same as far as possible.
- D. For Bonus issues, the new strike price is arrived at by multiplying the old strike price by the adjustment factor.
- E. Adjustments for corporate actions are carried out only on positions that are In-The-Money (ITM); OTM positions are left unadjusted.
Correct Answer: A,B,C 🗳️
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In the context of the 'SEBI Complaints Redress System (SCORES 2.0)', which of the following accurately describes the 'Review' mechanism available to a complainant who is dissatisfied with the resolution provided by the regulated entity?
- A. A mandatory arbitration process initiated automatically upon dissatisfaction.
- B. A single-level review conducted directly by the Securities Appellate Tribunal (SAT).
- C. A review by the Investor Service Centre of the nearest Stock Exchange within 30 days.
- D. Two levels of review: First by the 'Designated Body' and Second by SEBI.
- E. No review option is available; the complainant must approach the civil court immediately.
Correct Answer: D 🗳️
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Under the SCORES 2.0 framework, if a complainant is dissatisfied with the resolution provided by the entity and requests a first review, the Designated Body (DB) may seek clarification from the entity. What is the specific timeline mandated for the Designated Body to submit the revised Action Taken Report (ATR) to the complainant after seeking such clarification?
- A. Within 10 calendar days of the review sought
- B. Within 7 calendar days of the review sought
- C. Within 30 calendar days of the review sought
- D. Within 21 calendar days of the review sought
- E. Within 15 calendar days of the review sought
Correct Answer: A 🗳️
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Lucien -
I studied the NISM-Series-VII guide inside out and wrote the exam in under 45 minutes! The most amazing part is that I passed with a score of 98%!!