Exam Name: NISM Series VII - Securities Operations and Risk Management Certification
Certification Provider: NISM
Corresponding Certification: National Institute of Securities Markets
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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 |
| Available Languages: | English |
| Exam Price: | ₹1500 + GST |
| Real Exam Qty: | 100 |
| Exam Format: | Multiple Choice Questions (MCQs), Negative marking: 25% per wrong answer |
| Exam Duration: | 120 minutes |
| Passing Score: | 50% |
| Recommended Training: | Official NISM Study Material & Workbook |
| Exam Registration: | NISM Certification Portal |
| Sample Questions: | DOWNLOAD DEMO |
| 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: Trading Operations | 15% | - Client onboarding and KYC norms - Front office functions and processes - Order management and trade execution |
| Topic 2: Risk Management and Margining | 18% | - Types of risks in securities operations - Risk monitoring and control measures - Margining systems and methodologies |
| Topic 3: Clearing and Settlement | 15% | - Delivery versus payment and settlement guarantee - Clearing process and roles of clearing corporations - Settlement cycle and mechanisms |
| Topic 4: Securities Market Overview | 10% | - Market participants and their roles - Structure and segments of Indian securities market - Types of securities and products |
| Topic 5: Regulatory Framework | 15% | - Code of conduct and ethical practices - Compliance requirements for intermediaries - SEBI Act, Rules and Regulations |
| Topic 6: Technology in Securities Markets | 8% | - Data security and business continuity - Systems for trading, clearing and settlement - Emerging technologies and their impact |
| Topic 7: Investor Protection | 7% | - Investor education and awareness initiatives - Mechanisms for dispute resolution - Investor rights and grievances redressal |
| Topic 8: Market Microstructure | 12% | - Trading mechanisms and order types - Price discovery and market efficiency - Market indices and their calculation |
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Yes — true gold fears no fire, and our materials welcome the test. The free demo is cut directly from the real NISM Series VII - Securities Operations and Risk Management Certification question bank, so you get a genuine preview of the content, plus a look at what the software version looks like after opening and how it is used. All demos at Lead2PassExam are free of charge; download, examine, and decide about the NISM-Series-VII exam package only when your questions are answered.
Registration is available through the official channels below:
Booking a realistic date — one that leaves room for several mock exam sessions — turns exam pressure into a structured countdown.
The NISM-Series-VII exam requires 50% to pass, and registration costs ₹1500 + GST. Since the fee applies to every attempt, candidates who rehearse thoroughly with mock exams before booking tend to make the smarter investment.
According to the official outline, the NISM-Series-VII exam covers weighted domains including:
- Trading Operations (15%)
- Technology in Securities Markets (8%)
- Regulatory Framework (15%)
The NISM Series VII - Securities Operations and Risk Management Certification practice questions at Lead2PassExam map onto these same objectives, so mock exam sessions in the software version exercise exactly the areas the real exam tests.
NISM recommends the following training options:
Combine official courses with regular mock exams, and you cover both the knowledge side and the performance side of preparation.
The NISM-Series-VII exam is the official test behind the NISM Series VII - Securities Operations and Risk Management Certification certification from NISM, and for many working professionals it ranks among the most essential exams of their career. It measures whether you can apply the published objectives in practical scenarios — which is precisely why rehearsing under realistic mock exam conditions, not just reading, makes such a difference to both confidence and results.
No mandatory prerequisites; open to individuals aged 18 and above, regardless of educational background
Practice tests mean a lot when an exam matters. The software version of the NISM Series VII - Securities Operations and Risk Management Certification materials provides mock exams that let you accumulate real experience: each session builds familiarity with question flow and timing, which relieves stress, and at the same time increases your answering speed and the standardization of your responses. By the day of the real NISM-Series-VII exam, you are not facing something new — you are repeating something practiced.
The NISM-Series-VII exam includes 100 questions and allows 120 minutes minutes. That is limited time per question — mock exams under the same cap are the most direct way to build the pace you will need.
NISM Series VII - Securities Operations and Risk Management Certification Sample Questions:
A financial services firm applies for registration as a Portfolio Manager. They nominate Mr. X as the Principal Officer. Mr. X holds a professional qualification in finance from a recognized university. Regarding his experience, which of the following conditions MUST he satisfy to meet the eligibility criteria?
- A. Experience of at least 2 years in related activities in the securities market if he holds a CFA charter.
- B. Experience of at least 3 years in related activities in the securities market, with at least 1 year in portfolio management.
- C. Experience of at least 7 years in related activities in the securities market, with no specific requirement for portfolio management experience.
- D. Experience of at least 5 years strictly as a stock broker or dealer in the equity derivatives segment.
- E. Experience of at least 5 years in related activities in the securities market, including at least 2 years in portfolio management or investment advisory services or fund management.
Correct Answer: E 🗳️
Explanation: Only visible for Lead2PassExam members. You can sign-up / login (it's free).
Which of the following statements accurately describes the currency and jurisdictional nature of an International Financial Services Centre (IFSC) in India?
- A. It caters to domestic customers only, offering products in foreign currency.
- B. It is a deemed domestic territory for FEMA purposes but deals in foreign currency.
- C. It is a jurisdiction providing financial services to non-residents and residents (to the extent permissible) in a currency other than the domestic currency (Indian Rupee).
- D. It operates under the jurisdiction of the state government where it is located, dealing in dual currencies.
- E. It operates in Indian Rupee (INR) but is exempt from RBI regulations.
Correct Answer: C 🗳️
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While institutional trades generally do not attract upfront margins, specific categories of institutional investors are subject to upfront margining similar to non-institutional trades. Identify the category from the list below.
- A. Category II FPIs who are corporate bodies, individuals, or family offices
- B. Mutual Funds registered with SEBI
- C. Category I Foreign Portfolio Investors (Sovereign Wealth Funds)
- D. Insurance Companies registered with IRDAI
- E. Public Financial Institutions defined under the Companies Act
Correct Answer: A 🗳️
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According to the SEBI guidelines on Trade Annulment, what is the specific application fee structure that Stock Exchanges must charge for accepting an annulment request from a stock broker?
- A. There is no fee for trade annulment if the request is submitted within 30 minutes.
- B. 5% of the value of trade(s), subject to a minimum of? 1 lakh and maximum of ? 10 lakhs.
- C. A fixed fee of? 1 lakh irrespective of trade value, credited to the Investor Service Fund.
- D. 2% of the value of trade(s), with no minimum or maximum cap, credited to the Core Settlement Guarantee Fund.
- E. 1% of the value of trade(s), subject to a minimum of ? 50,000 and maximum of ? 5 lakhs.
Correct Answer: B 🗳️
Explanation: Only visible for Lead2PassExam members. You can sign-up / login (it's free).
To safeguard client funds during the running account settlement process, SEBI has stipulated specific banking procedures. Which of the following statements correctly describes the requirement regarding the 'Up Streaming Client Nodal Bank Account' (USCNBA) during settlement?
- A. Trading Members must ensure that funds received from clients whose running account has been settled remain in the USCNBA and are not used to settle other clients.
- B. The USCNBA is used only for receiving funds from the Exchange, while client receipts are deposited in the Settlement Account.
- C. Funds can be moved to the broker's proprietary account temporarily to facilitate faster settlement payouts.
- D. Funds in the USCNBA can be used for inter-client adjustments if the clients have provided specific consent in the KYC form.
- E. USCNBA funds must be transferred to the Clearing Corporation's settlement account before being paid out to clients.
Correct Answer: A 🗳️
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