NISM Series VII - Securities Operations and Risk Management Certification: NISM-Series-VII Exam
"NISM Series VII - Securities Operations and Risk Management Certification", also known as NISM-Series-VII exam, is a NISM Certification. With the complete collection of questions and answers, PrepPDF has assembled to take you through 334 Q&As to your NISM-Series-VII Exam preparation. In the NISM-Series-VII exam resources, you will cover every field and category in National Institute of Securities Markets Certification helping to ready you for your successful NISM Certification.
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- Exam Code: NISM-Series-VII
- Exam Name: NISM Series VII - Securities Operations and Risk Management Certification
- Certification Provider: NISM
- Corresponding Certification: National Institute of Securities Markets
- Updated: Oct 06, 2026
- No. of Questions: 334 Questions & Answers with Testing Engine
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NISM NISM-Series-VII Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Regulatory Framework | - Role of the Securities and Exchange Board of India (SEBI)
|
| Topic 2: Trade Life Cycle | - Steps and participants involved in the trade life cycle
|
| Topic 3: Investor Grievance Redressal | - Process of investor grievances redressal
|
| Topic 4: Risk Management | - Risk management in a securities broking firm
|
| Topic 5: Indian Securities Market | - Overview of the Indian securities market
|
| Topic 6: Securities Broking Operations | - Front Office, Middle Office and Back Office functions in a Securities Broking Firm
|
NISM Series VII - Securities Operations and Risk Management Certification Sample Questions:
Select the correct statements regarding the regulations and procedures governing the auction of securities and handling of proceeds by the Clearing Corporation. (Select all that apply)
- A. The members participating in the auction session as sellers are required to deliver the shares to the Clearing Corporation on or before the auction pay-in day, which is the subsequent day.
- B. If the auction seller fails to deliver on the auction pay-in day, the deal is closed out at the standard valuation price of the T+1 day.
- C. In no case shall the auction be held beyond a period of one week from the pay-in day of the settlement in which the contract was entered into.
- D. Any amount remaining from the proceeds of an Auction or Close-out, after settling the aggrieved party's claim, is credited to the Core Settlement Guarantee Fund (Core SGF).
- E. The auction for undelivered quantities can be held multiple times for the same settlement until the full quantity is procured.
Correct Answer: A,C,D 🗳️
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SEBI has introduced the mechanism of Net Settlement of cash segment and F&O segment upon expiry of stock derivatives. Under which of the following conditions is this benefit of netting (merged settlements) specifically available to an investor?
- A. When the investor trades in highly correlated indices across different exchanges.
- B. When the investor trades and clears through the same Trading Member (TM) - Clearing Member (CM) combination in both Cash and F&O segments.
- C. When the investor uses different Clearing Members for Cash and F&O segments but they are interoperable.
- D. When the investor is a Portfolio Manager (PMS) directed to enter into delivery backed transactions only.
- E. When the investor is an Institutional Investor (including FPIs) whose transactions are backed by delivery.
Correct Answer: B 🗳️
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Under the framework of 'Interoperability among Clearing Corporations', how are the inter-Clearing Corporation exposures managed in the peer-to-peer link to ensure that a default by one Clearing Corporation does not cause financial loss to the other?
- A. By creating a reserve contract for scrips exclusively listed on one exchange to be invoked at the time of outage.
- B. By requiring the Stock Exchanges to act as the primary guarantor for any inter-CC default up to 50% of the Minimum Required Corpus.
- C. By maintaining a Core Settlement Guarantee Fund (Core SGF) that is shared equally between all interoperable Clearing Corporations.
- D. By maintaining sufficient collateral comprising (a) Margins as per existing Risk Management Framework and (b) Additional capital based on credit risk.
- E. By netting the pay-in and pay-out obligations of the Clearing Corporations against the Investor Protection Fund.
Correct Answer: D 🗳️
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To participate in the trading of mutual fund units through the stock exchange trading platform, a trading member must fulfill specific criteri a. Which of the following combinations accurately represents the mandatory requirements for a trading member to place orders for a specific Mutual Fund Company?
- A. Register directly with SEBI as an Investment Adviser, hold a valid ARN, and execute a Service Level Agreement with the Clearing Corporation.
- B. Hold an AMFI Registration Number (ARN), pass the relevant NISM certification examination, and register as a distributor with the specific Mutual Fund Company.
- C. Obtain a specific 'MF-Trading' license from the Stock Exchange, maintain a minimum net worth of Rs. 50 Lakhs, and hold a valid ARN.
- D. Hold a valid SEBI Registration as a Portfolio Manager, pass the NISM Series-V-A examination, and register with the Association of Mutual Funds in India (AMFI).
- E. Be a registered Depository Participant, hold a valid ARN, and have a dedicated Mutual Fund desk with at least two certified employees.
Correct Answer: B 🗳️
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In the Clearing Process for Derivatives, how is a Trading Member's (TM) open position calculated for the purpose of exposure and daily margin?
- A. Gross of all buy and sell transactions without any netting at contract level.
- B. Sum of Proprietary Open Position, Client Open Long Position, and Client Open Short Position.
- C. Sum of Proprietary Net Position and Client Net Positions (netted across all clients).
- D. Net of Proprietary Position and Client Positions (Buy - Sell for the entire firm).
- E. Higher of the Proprietary Position or the sum of Client Positions.
Correct Answer: B 🗳️
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