Try NISM : NISM-Series-VII practice torrent pass for sure
Updated: Oct 17, 2026
No. of Questions: 334 Questions & Answers with Testing Engine
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NISM NISM-Series-VII Exam Overview:
| Certification Vendor: | National Institute of Securities Markets (NISM) |
|---|---|
| Exam Name: | NISM-Series-VII: Securities Operations and Risk Management Certification Examination |
| Exam Number: | NISM-Series-VII |
| Certificate Validity Period: | 3 years |
| Exam Duration: | 120 minutes |
| Exam Price: | ₹1,500 |
| Real Exam Qty: | 100 |
| Available Languages: | English |
| Passing Score: | 50% |
| Related Certifications: | NISM-Series-VI: Depository Operations Certification Examination NISM-Series-V-B: Mutual Fund Foundation Certification Examination NISM-Series-IV: Interest Rate Derivatives Certification Examination NISM-Series-I: Currency Derivatives Certification Examination NISM-Series-V-A: Mutual Fund Distributors Certification Examination NISM-Series-X-B: Investment Adviser (Level 2) Certification Examination NISM-Series-II: Registrars to an Issue and Share Transfer Agents - Corporate Certification Examination NISM-Series-XI: Equity Sales Certification Examination NISM-Series-III: Securities Intermediaries Compliance (Non-Fund) Certification Examination NISM-Series-VIII: Equity Derivatives Certification Examination NISM-Series-X-A: Investment Adviser (Level 1) Certification Examination NISM-Series-XII: Securities Markets Foundation Certification Examination NISM-Series-IX: Merchant Banking Certification Examination |
| Exam Format: | Multiple Choice Questions |
| Sample Questions: | NISM NISM-Series-VII Sample Questions |
| Exam Way: | Online (Computer-based) at NISM test centers |
| Pre Condition: | Associated persons of a registered stock-broker / trading member/clearing member in recognized stock exchanges, involved in: assets or funds of investor or clients; redressal of investor grievances; internal control or risk management; activities having a bearing on operational risk. Also open to interested students/professionals and other individuals. |
| Official Syllabus URL: | https://www.nism.ac.in/securities-operations-and-risk-management |
NISM NISM-Series-VII Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Indian Securities Market | - Overview of the Indian securities market
|
| Regulatory Framework | - Role of the Securities and Exchange Board of India (SEBI)
|
| Investor Grievance Redressal | - Process of investor grievances redressal
|
| Risk Management | - Risk management in a securities broking firm
|
| Trade Life Cycle | - Steps and participants involved in the trade life cycle
|
| 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:
If a clearing member fails to fulfill the margin obligations, the clearing agency has the authority to initiate disciplinary actions without further notice. Which of the following is explicitly listed as a potential action in such a scenario?
- A. Permanent cancellation of the certificate of registration.
- B. Mandatory conversion of the clearing member to a trading-only member.
- C. Withdrawal of trading facilities and/or clearing facility and close out of outstanding positions.
- D. Seizure of the member's personal assets outside the clearing system.
- E. Transfer of client positions to the Investor Protection Fund.
Correct Answer: C 🗳️
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According to the regulations governing institutional investors in the Indian Cash Market, which of the following combinations of trading activities is strictly PROHIBITED?
- A. Using the 'INST' code for order entry
- B. Day trading (squaring off transactions intra-day)
- C. Short selling with mandatory delivery obligation
- D. Trading in the Block Deal window
- E. Algorithmic trading using Direct Market Access
Correct Answer: B 🗳️
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Select the correct statements regarding the 'Settlement of Funds' and 'Mode of Payment' compliance requirements for stock brokers.
(Select all that apply)
- A. Brokers must maintain an audit trail of funds received through electronic fund transfers to ensure they are from the client's own account.
- B. All payments from/to clients must be strictly by account payee crossed cheques/demand drafts or direct credit into the bank account.
- C. For clients with outstanding obligations on the settlement date, the broker may retain the requisite funds towards such obligations.
- D. Authorization for maintaining a running account can be signed by the client's Power of Attorney (POA) holder.
- E. Brokers are permitted to accept cash from clients for margin purposes up to Rs. 20,000.
Correct Answer: A,B,C 🗳️
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An 'Accreditation Agency' issues an accreditation certificate to an investor. Under what specific condition regarding the investor's financial history is this certificate valid for a period of three years from the date of issuance?
- A. If the applicant meets the eligibility criteria for the preceding one financial year
- B. If the applicant is a newly incorporated entity meeting the net-worth criteria as on the date of application
- C. If the applicant is a Body Corporate with a Net Worth INR 50 Crore
- D. If the applicant submits a bank guarantee equivalent to the net worth requirement
- E. If the applicant meets the eligibility criteria in each of the preceding two financial years
Correct Answer: E 🗳️
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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 (Prohibition of Insider Trading) Regulations, 2015
- C. SEBI (Depository & Participants) Regulations, 2018
- D. SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015
- E. SEBI (Intermediaries) Regulations, 2008
Correct Answer: C 🗳️
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