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Updated: Oct 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 |
| Certificate Validity Period: | 3 years |
| Exam Duration: | 120 minutes |
| Passing Score: | 50% |
| Real Exam Qty: | 100 |
| Exam Price: | ₹1500 + GST |
| Exam Format: | Negative marking: 25% per wrong answer, Multiple Choice Questions (MCQs) |
| Available Languages: | English |
| Recommended Training: | Official NISM Study Material & Workbook |
| Exam Registration: | NISM Certification Portal |
| Sample Questions: | NISM NISM-Series-VII Sample Questions |
| Exam Way: | Computer-Based Test (CBT), conducted at designated test centers across India |
| Pre Condition: | No mandatory prerequisites; open to individuals aged 18 and above, regardless of educational background |
| Official Syllabus URL: | https://www.nism.ac.in/securities-operations-and-risk-management/ |
NISM NISM-Series-VII Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Technology in Securities Markets | 8% | - Systems for trading, clearing and settlement - Emerging technologies and their impact - Data security and business continuity |
| Topic 2: Investor Protection | 7% | - Investor education and awareness initiatives - Mechanisms for dispute resolution - Investor rights and grievances redressal |
| Topic 3: Market Microstructure | 12% | - Market indices and their calculation - Price discovery and market efficiency - Trading mechanisms and order types |
| Topic 4: Risk Management and Margining | 18% | - Types of risks in securities operations - Risk monitoring and control measures - Margining systems and methodologies |
| Topic 5: Clearing and Settlement | 15% | - Delivery versus payment and settlement guarantee - Clearing process and roles of clearing corporations - Settlement cycle and mechanisms |
| Topic 6: Securities Market Overview | 10% | - Types of securities and products - Market participants and their roles - Structure and segments of Indian securities market |
| Topic 7: Trading Operations | 15% | - Front office functions and processes - Client onboarding and KYC norms - Order management and trade execution |
| Topic 8: Regulatory Framework | 15% | - Code of conduct and ethical practices - SEBI Act, Rules and Regulations - Compliance requirements for intermediaries |
NISM Series VII - Securities Operations and Risk Management Certification Sample Questions:
Which of the following statements are CORRECT regarding the Settlement of Securities in the Indian Cash Market? (Select all that apply)
- A. Clients can authorize the broker via DDPI to access their BO account for the limited purpose of meeting pay-in obligations.
- B. The securities direct pay-out mandated by SEBI is applicable to all clients, including those having arrangements with registered custodians.
- C. Purchasers of securities are required to issue a fresh receipt instruction to their DP for every transaction, as standing instructions are prohibited.
- D. As a consequence of Direct Payout, the timing of the securities payout has been revised to 3:30 PM.
- E. In case of holidays, the CCs settle trades on a sequential basis, ensuring the pay-out of the first settlement is completed before the pay-in of the subsequent settlement.
Correct Answer: A,D,E 🗳️
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Which of the following services can a Depository Participant (DP) engage in, as explicitly listed in the NISM workbook? (Select all that apply)
- A. Underwriting of Initial Public Offers (IPOs)
- B. Issuing equity research reports for the depository
- C. Receiving electronic credit in respect of securities allotted by issuers under IPO
- D. Pledging of dematerialized securities & facilitating loans against shares
- E. Freezing of the demat account for debits, credits, or both
Correct Answer: C,D,E 🗳️
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Every clearing member is required to maintain a separate primary clearing account with a designated clearing bank. Which of the following operational restrictions applies to this account regarding withdrawals?
- A. Funds can be withdrawn directly to third-party vendor accounts for operational expenses.
- B. Withdrawals are limited to 50% of the account balance on any given day.
- C. Funds can be withdrawn only in the self-name of the clearing member.
- D. Funds can be withdrawn only after obtaining a No Objection Certificate (NOC) from the Stock Exchange.
- E. Withdrawals are strictly prohibited; funds must only be used for settlement obligations.
Correct Answer: C 🗳️
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A corporate stock broker with a net worth of Rs. 10 Crore wishes to offer the margin trading facility (MTF) to its clients. According to SEBI regulations, what is the maximum limit on the broker's total indebtedness for the purpose of margin trading and the maximum allowable exposure towards MTF?
- A. Total Indebtedness: Rs. 50 Crore; Maximum Exposure: Borrowed Funds + Rs. 5 Crore
- B. Total Indebtedness: Rs. 50 Crore; Maximum Exposure: Borrowed Funds + Rs. 10 Crore
- C. Total Indebtedness: Rs. 20 Crore; Maximum Exposure: Rs. 50 Crore
- D. Total Indebtedness: Rs. 100 Crore; Maximum Exposure: 5 times Net Worth
- E. Total Indebtedness: Rs. 30 Crore; Maximum Exposure: Borrowed Funds + Rs. 10 Crore
Correct Answer: A 🗳️
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Regarding the utilization of interest or income received out of investments made from the Investor Protection Fund (IPF), which of the following statements accurately reflects the regulatory mandate for ploughing back funds into the corpus?
- A. The entire interest income must be transferred to the Investor Services Fund (ISF) annually.
- B. Only the interest earned on the security deposit of the issuer companies is ploughed back; other income is free for use.
- C. At least 70% of interest or income from IPF received every year shall be ploughed back to IPF.
- D. 100% of the interest or income received every year must be strictly used for settling claims and cannot be reinvested.
- E. At least 50% of the interest or income must be ploughed back, while the remaining 50% can be used for administrative expenses.
Correct Answer: C 🗳️
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