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NISM NISM-Series-VII Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Indian Securities Market | - Overview of the Indian securities market
|
| Topic 2: Securities Broking Operations | - Front Office, Middle Office and Back Office functions in a Securities Broking Firm
|
| Topic 3: Regulatory Framework | - Role of the Securities and Exchange Board of India (SEBI)
|
| Topic 4: Trade Life Cycle | - Steps and participants involved in the trade life cycle
|
| Topic 5: Risk Management | - Risk management in a securities broking firm
|
| Topic 6: Investor Grievance Redressal | - Process of investor grievances redressal
|
NISM Series VII - Securities Operations and Risk Management Certification Sample Questions:
Every Depository Participant (DP) is required to abide by a specific Code of Conduct. Which regulation explicitly specifies this Code of Conduct in its Third Schedule?
- A. Depositories Act, 1996
- B. SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015
- C. SEBI (Intermediaries) Regulations, 2008
- D. SEBI (Depository & Participants) Regulations, 2018
- E. SEBI (Prohibition of Insider Trading) Regulations, 2015
Correct Answer: D 🗳️
Explanation: Only visible for ValidExam members. You can sign-up / login (it's free).
In the context of the modernization of services provided by brokers, how are research advice and recommendations increasingly being delivered to clients?
- A. Via recorded voice messages on landline telephones only.
- B. Exclusively through physical contract notes sent via post.
- C. Through SMS on to the mobile phone.
- D. Only through the official website of the Stock Exchange.
- E. Strictly through in-person meetings at the broker's branch office.
Correct Answer: C 🗳️
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In the T+1 rolling settlement cycle for institutional trades involving a Custodian, what is the specific deadline for the 'Obligation Transfer Request (OTR)' for trades where the 'INST' code was used?
- A. 11:00 AM on T+1 Day
- B. 7:30 AM on T+1 Day
- C. 8:00 PM on T Day
- D. 4:15 PM on T Day
- E. 9:00 AM on T+1 Day
Correct Answer: C 🗳️
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According to the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, from whom must an issuer obtain 'in-principle approval' for listing securities before issuing further shares, specifically in the case where the company is not listed on any exchange having nationwide trading terminals?
- A. From any one recognized stock exchange having nationwide trading terminals
- B. From all the stock exchange(s) in which the securities of the issuer are proposed to be listed
- C. From the stock exchange with the highest trading volume in the previous financial year
- D. Only from the Securities and Exchange Board of India (SEBI)
- E. From the Registrar of Companies (ROC) where the company is registered
Correct Answer: B 🗳️
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If the conciliation process fails and the **Market Participant** decides to pursue online arbitration, what specific financial requirement must they satisfy prior to the initiation of the online arbitration?
- A. They must obtain an indemnity bond from the investor for the full claim amount.
- B. They must deposit 100% of the admissible claim value with the relevant Market Infrastructure Institution (MII).
- C. They must pay a non-refundable arbitration fee of Rs. 25,000.
- D. They must deposit 75% of the claim value with the Investor Protection Fund (IPF).
- E. They must provide a Bank Guarantee equivalent to 50% of the claim value.
Correct Answer: B 🗳️
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