Try NISM : NISM-Series-VII valid & accurate questions and answers
Updated: Oct 21, 2026
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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 |
| Exam Format: | Multiple Choice Questions |
| Passing Score: | 50% |
| Real Exam Qty: | 100 |
| Exam Price: | ₹1,500 |
| Exam Duration: | 120 minutes |
| Available Languages: | English |
| Certificate Validity Period: | 3 years |
| Related Certifications: | NISM-Series-X-A: Investment Adviser (Level 1) Certification Examination NISM-Series-XI: Equity Sales Certification Examination NISM-Series-I: Currency Derivatives Certification Examination NISM-Series-VI: Depository Operations Certification Examination NISM-Series-III: Securities Intermediaries Compliance (Non-Fund) Certification Examination NISM-Series-VIII: Equity Derivatives Certification Examination NISM-Series-XII: Securities Markets Foundation Certification Examination NISM-Series-V-B: Mutual Fund Foundation 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-IX: Merchant Banking Certification Examination NISM-Series-V-A: Mutual Fund Distributors Certification Examination NISM-Series-IV: Interest Rate Derivatives Certification Examination |
| 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 |
|---|---|
| Topic 1: Risk Management | - Risk management in a securities broking firm
|
| Topic 2: Indian Securities Market | - Overview of the Indian securities market
|
| Topic 3: Trade Life Cycle | - Steps and participants involved in the trade life cycle
|
| Topic 4: Investor Grievance Redressal | - Process of investor grievances redressal
|
| Topic 5: Securities Broking Operations | - Front Office, Middle Office and Back Office functions in a Securities Broking Firm
|
| Topic 6: Regulatory Framework | - Role of the Securities and Exchange Board of India (SEBI)
|
NISM Series VII - Securities Operations and Risk Management Certification Sample Questions:
While Equity Derivatives generally follow a T+1 settlement cycle for daily and final settlement, which specific segment has a Final Settlement cycle of T+2 basis?
- A. Index Futures
- B. Index Options
- C. Interest Rate Futures
- D. Currency Derivatives
- E. Stock Options (Physical Settlement)
Correct Answer: D 🗳️
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Under the regulatory framework defined in Section 24 of the Companies Act, 2013, the administration of specific provisions for listed companies (or those proposed to be listed) is delegated to the Securities and Exchange Board of India (SEBI). Which of the following matters is EXCLUSIVELY administered by SEBI under this delegation, while remaining otherwise under the Central Government's administration?
- A. Registration of the company's memorandum of association
- B. Incorporation of the company
- C. Non-payment of dividend
- D. Appointment of key managerial personnel
- E. Conduct of Annual General Meetings
Correct Answer: C 🗳️
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Clearing Members are required to maintain specific demat accounts known as 'Clearing Member Settlement Pool Accounts' with depositories. Which of the following statements accurately describes the legal and operational nature of the securities held in these pool accounts?
- A. Securities in the pool account are automatically pledged to the Clearing Corporation as margin and cannot be delivered until unpledged.
- B. The Clearing Member obtains full ownership rights over the securities in the pool account to facilitate settlement.
- C. The Clearing Member does not get any ownership or beneficiary rights over the shares held in these accounts; they are strictly for settlement delivery and receipt.
- D. Corporate action benefits for securities held in the pool account are retained by the Clearing Member as operational fees.
- E. Clients cannot transfer shares directly into the Clearing Member's pool account; they must transfer to a beneficiary account first.
Correct Answer: C 🗳️
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Clearing Corporations are required to conduct various tests to ensure the adequacy of the Core SGF. What is the specific purpose of the 'Reverse Stress Test' as defined in the risk management framework?
- A. To validate the accuracy of the software used for margin calculation.
- B. To test the operational capability of the backup disaster recovery site.
- C. To determine the daily settlement price of illiquid futures contracts.
- D. To identify under which market conditions and scenarios the combination of margins, Core SGF, and other financial resources would prove insufficient.
- E. To calculate the historical volatility of the most liquid securities over the past 5 years.
Correct Answer: D 🗳️
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Select the correct statements regarding the online risk management system capabilities that a broker must possess for Middle Office Operations. (Select all that apply)
- A. The system must have on-line real-time risk management for all orders placed on the exchange trading system.
- B. The system must maintain separate ledgers for proprietary and client trades but need not monitor them in real-time.
- C. The system should have the capability to generate reports relating to margin requirements and delivery obligations.
- D. The system should strictly allow order modification only after trade execution is confirmed by the back office.
- E. Only orders within parameters like Order Quantity, Value Limits, and Price Limits should be pushed to the exchange.
Correct Answer: A,C,E 🗳️
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