Purchase NISM : NISM-Series-VII Exam Materials and then pass exam easily
Updated: Oct 12, 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% |
| Real Exam Qty: | 100 |
| Exam Duration: | 120 minutes |
| Certificate Validity Period: | 3 years |
| Available Languages: | English |
| Exam Format: | Multiple Choice Questions |
| Related Certifications: | NISM-Series-III: Securities Intermediaries Compliance (Non-Fund) Certification Examination NISM-Series-VI: Depository Operations Certification Examination NISM-Series-V-B: Mutual Fund Foundation Certification Examination NISM-Series-X-A: Investment Adviser (Level 1) Certification Examination NISM-Series-IX: Merchant Banking Certification Examination NISM-Series-X-B: Investment Adviser (Level 2) Certification Examination NISM-Series-XI: Equity Sales Certification Examination NISM-Series-IV: Interest Rate Derivatives Certification Examination NISM-Series-VIII: Equity Derivatives Certification Examination NISM-Series-II: Registrars to an Issue and Share Transfer Agents - Corporate Certification Examination NISM-Series-V-A: Mutual Fund Distributors Certification Examination NISM-Series-XII: Securities Markets Foundation Certification Examination NISM-Series-I: Currency 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 |
|---|---|
| Risk Management | - Risk management in a securities broking firm
|
| Indian Securities Market | - Overview of the Indian securities market
|
| Securities Broking Operations | - Front Office, Middle Office and Back Office functions 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:
Which of the following statements accurately describe the operational guidelines for the Online Dispute Resolution (ODR) mechanism in the Indian Securities Market? (Select all that apply)
- A. If a Market Participant wishes to pursue online arbitration following an unsuccessful conciliation, they must deposit 50% of the admissible claim value with the relevant Mll.
- B. The Market Participant can initiate dispute resolution through the ODR Portal after giving due notice of at least 15 calendar days to the investor.
- C. Investors must mandatorily exhaust the SCORES portal process before they can initiate any dispute resolution through the ODR Portal.
- D. The ODR Institution must appoint a sole independent and neutral conciliator within 5 days of receipt of the reference.
- E. The conciliator shall attempt to reach a resolution within 21 calendar days, which can be extended by a maximum of 10 calendar days by consent.
Correct Answer: B,D,E 🗳️
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According to the SEBI (Prohibition of Insider Trading) Regulations, 2015, certain categories of persons are 'deemed to be connected persons' unless the contrary is established. Which of the following entities fall under this 'deemed' category?
- A. A holding company or subsidiary company of the listed entity.
- B. A person who has been associated with the company in any capacity 8 months prior to the trade.
- C. An official of a stock exchange or clearing corporation.
- D. A banker of the company.
- E. A concern, firm, or HUF wherein a director of the company has more than 10% of the holding of interest.
Correct Answer: A,C,D,E 🗳️
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The Clearing Corporation performs three main functions: clearing, settlement, and risk management. Which of the following statements accurately defines the specific scope of the 'clearing' function?
- A. It is the process of collecting margins and maintaining the Core Settlement Guarantee Fund.
- B. It is the two-way process which involves the actual transfer of funds and securities on the settlement date.
- C. It involves the handling of exceptional situations like auction settlement and bad delivery.
- D. It is the mechanism of linking multiple depositories to facilitate inter-depository transfers.
- E. It is the process designed to work out what members are due to deliver and what members are due to receive on the settlement date.
Correct Answer: E 🗳️
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Regarding the execution of transfer instructions, under what condition is a Depository Participant (DP) permitted to register the transfer of securities from a beneficial owner's account?
- A. Upon implied consent derived from the client's trading pattern
- B. Whenever the account balance falls below the minimum required balance
- C. Immediately upon receipt of a market rumour regarding the security
- D. Only on receipt of instructions from the beneficial owner and thereafter confirming the same to the beneficial owner
- E. Based on a standing instruction from the Stock Exchange for all accounts
Correct Answer: D 🗳️
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In the context of the securities market structure, identifying the correct classification of an issue is critical for regulatory compliance. If an issuer raises resources by issuing shares to a select group of persons rather than the general public, how is this issuance technically classified?
- A. Private Placement
- B. Rights Issue
- C. Bonus Issue
- D. Follow on Public Offer (FPO)
- E. Initial Public Offer (IPO)
Correct Answer: A 🗳️
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