Purchase NISM : NISM-Series-VII Exam Materials and then pass exam easily
Updated: Sep 04, 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 Price: | ₹1,500 |
| Passing Score: | 50% |
| Exam Duration: | 120 minutes |
| Exam Format: | Multiple Choice Questions |
| Available Languages: | English |
| Certificate Validity Period: | 3 years |
| Real Exam Qty: | 100 |
| Related Certifications: | NISM-Series-V-B: Mutual Fund Foundation Certification Examination NISM-Series-XII: Securities Markets 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-III: Securities Intermediaries Compliance (Non-Fund) Certification Examination NISM-Series-I: Currency Derivatives Certification Examination NISM-Series-IX: Merchant Banking Certification Examination NISM-Series-XI: Equity Sales Certification Examination NISM-Series-VI: Depository Operations Certification Examination NISM-Series-X-A: Investment Adviser (Level 1) Certification Examination NISM-Series-IV: Interest Rate Derivatives Certification Examination NISM-Series-VIII: Equity Derivatives Certification Examination NISM-Series-V-A: Mutual Fund Distributors 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 |
|---|---|
| Securities Broking Operations | - Front Office, Middle Office and Back Office functions in a Securities Broking Firm
|
| Indian Securities Market | - Overview of the Indian securities market
|
| Risk Management | - Risk management in a securities broking firm
|
| Investor Grievance Redressal | - Process of investor grievances redressal
|
| Regulatory Framework | - Role of the Securities and Exchange Board of India (SEBI)
|
| Trade Life Cycle | - Steps and participants involved in the trade life cycle
|
NISM Series VII - Securities Operations and Risk Management Certification Sample Questions:
Question 1
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. 4:15 PM on T Day
B. 11:00 AM on T+1 Day
C. 7:30 AM on T+1 Day
D. 8:00 PM on T Day
E. 9:00 AM on T+1 Day
Question 2
The 'Direct Listing of Equity Shares of Companies Incorporated in India on International Exchanges Scheme' is specified under which schedule of the Foreign Exchange Management (Non-debt Instruments) Rules, 2019?
A. Schedule I
B. Schedule X
C. Schedule XI
D. Schedule VII
E. Schedule V
Question 3
Which of the following guidelines are mandated to enable smooth settlement processes and help Clearing Corporations meet obligations in case of holidays? (Select all that apply)
A. Depositories shall facilitate inter-depository transfers within one hour and before pay-in for the subsequent settlement begins.
B. Pay-in and pay-out of the first settlement must be completed before the commencement of the subsequent settlement.
C. CCs shall clear and settle trades on a sequential basis.
D. Settlements for all trade dates falling on holidays must be deferred to the next working week.
E. Members are prohibited from using the pay-out of the first settlement for the subsequent settlement's pay-in.
Question 4
Which of the following items are mandated contributions by the Stock Exchange to the Investor Protection Fund (IPF) according to SEBI guidelines? (Select all that apply)
A. At least 20% of the listing fees received.
B. Penalty collected from Trading Members for deficiency in modification of client code.
C. Penalties collected from listed companies for non-compliance with LODR Regulations.
D. 1% of the listing fees received, on a quarterly basis.
E. 100% of the interest earned on the 1% security deposit kept by issuer companies (immediately on refund).
Question 5
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. Higher of the Proprietary Position or the sum of Client Positions.
C. Net of Proprietary Position and Client Positions (Buy - Sell for the entire firm).
D. Sum of Proprietary Net Position and Client Net Positions (netted across all clients).
E. Sum of Proprietary Open Position, Client Open Long Position, and Client Open Short Position.
Solutions:
| Question 1 Answer: D | Question 2 Answer: C | Question 3 Answer: A,B,C | Question 4 Answer: B,C,D,E | Question 5 Answer: E |
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