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NISM NISM-Series-VII Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Clearing and Settlement | - Settlement systems
|
| Securities Market Operations | - Market participants and structure
|
| Risk Management in Securities Markets | - Risk mitigation systems
|
| Depository Operations | - Corporate actions
|
NISM Series VII - Securities Operations and Risk Management Certification Sample Questions:
Under the SEBI (Foreign Portfolio Investors) Regulations, 2019, which of the following entities are classified as Category I Foreign Portfolio Investors? (Select all that apply)
- A. Government and Government related investors such as central banks and sovereign wealth funds
- B. Appropriately regulated entities such as insurance entities from FATF member countries
- C. Corporate bodies and Family offices
- D. Pension funds and university funds
- E. Unregulated funds in the form of limited partnerships
Correct Answer: A,B,D 🗳️
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Which of the following is typically listed as a distinct facility offered by a stock broker's outlet to facilitate advanced trading strategies and execution for clients?
- A. Issuance of Sovereign Gold Bonds as an Issuer
- B. Algorithmic trading
- C. Formulation of Monetary Policy
- D. Currency printing and minting
- E. Adjudication of securities disputes as a Court
Correct Answer: B 🗳️
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Regarding the maintenance and preservation of books of account and other records by stock brokers, which of the following statements accurately reflects the regulatory requirements under the Securities Contracts (Regulation) Rules, 1957 (SCRR) and SEBI Regulations?
- A. Books must be preserved for 10 years if the broker is involved in algorithmic trading.
- B. Books must be preserved for 5 years; if originals are seized by an enforcement agency, they must be preserved (originals or copies) until the trial is completed.
- C. Books must be preserved for 3 years; seized originals need not be tracked once handed over to agencies.
- D. Books must be maintained in physical form only for a minimum of 5 years; electronic records are optional.
- E. Books must be preserved for 8 years in alignment with the Companies Act, regardless of SEBI regulations.
Correct Answer: B 🗳️
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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+1 days
- B. T+2 days
- C. T+5 days
- D. T+3 days
- E. T+6 days
Correct Answer: D 🗳️
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Which of the following statements accurately describes the currency and jurisdictional nature of an International Financial Services Centre (IFSC) in India?
- A. It operates under the jurisdiction of the state government where it is located, dealing in dual currencies.
- B. It operates in Indian Rupee (INR) but is exempt from RBI regulations.
- C. It is a deemed domestic territory for FEMA purposes but deals in foreign currency.
- D. It caters to domestic customers only, offering products in foreign currency.
- E. It is a jurisdiction providing financial services to non-residents and residents (to the extent permissible) in a currency other than the domestic currency (Indian Rupee).
Correct Answer: E 🗳️
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