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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Updated: Oct 10, 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 Duration: | 120 minutes |
| Real Exam Qty: | 100 |
| Available Languages: | English |
| Exam Price: | ₹1500 + GST |
| Passing Score: | 50% |
| Certificate Validity Period: | 3 years |
| Exam Format: | Multiple Choice Questions (MCQs), Negative marking: 25% per wrong answer |
| 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: Investor Protection | 7% | - Investor rights and grievances redressal - Investor education and awareness initiatives - Mechanisms for dispute resolution |
| Topic 2: Risk Management and Margining | 18% | - Risk monitoring and control measures - Types of risks in securities operations - Margining systems and methodologies |
| Topic 3: Securities Market Overview | 10% | - Structure and segments of Indian securities market - Market participants and their roles - Types of securities and products |
| Topic 4: Regulatory Framework | 15% | - SEBI Act, Rules and Regulations - Compliance requirements for intermediaries - Code of conduct and ethical practices |
| Topic 5: Market Microstructure | 12% | - Market indices and their calculation - Trading mechanisms and order types - Price discovery and market efficiency |
| Topic 6: Technology in Securities Markets | 8% | - Systems for trading, clearing and settlement - Data security and business continuity - Emerging technologies and their impact |
| Topic 7: Clearing and Settlement | 15% | - Delivery versus payment and settlement guarantee - Settlement cycle and mechanisms - Clearing process and roles of clearing corporations |
| Topic 8: Trading Operations | 15% | - Front office functions and processes - Order management and trade execution - Client onboarding and KYC norms |
NISM Series VII - Securities Operations and Risk Management Certification Exam FAQ — High-Efficiency Answers
₹1500 + GST per attempt, 50% to pass. A failed retake costs the full fee again — prepare efficiently with the 334 practice questions for the NISM-Series-VII exam at ActualVCE.
The NISM Series VII - Securities Operations and Risk Management Certification is NISM's certification exam for Securities Operations and Risk Management Certification, at the Associate level. Certification is how workers face new challenges and seize promotion chances.
Yes — new customers get a free NISM Series VII - Securities Operations and Risk Management Certification demo, and regular customers enjoy constant promotions and membership discounts. Purchases include 365 days of free updates by email; renew afterward at 50% off.
The NISM Series VII - Securities Operations and Risk Management Certification blueprint spans 8 domains — including Investor Protection (7%), Regulatory Framework (15%), Market Microstructure (12%). Concentrate effort where the weight sits; the complete outline above lists every subtopic.
Through the vendor's official registration channels:
The NISM Series VII - Securities Operations and Risk Management Certification is delivered Computer-Based Test (CBT), conducted at designated test centers across India — pick the arrangement that suits you when booking.
No mandatory prerequisites; open to individuals aged 18 and above, regardless of educational background Eligibility rules change over time, so verify the current requirements on the official page (official NISM-Series-VII exam page) before registering.
120 minutes for 100 questions. Efficient preparation — steady timed practice with the ActualVCE engine — makes the real clock feel generous.
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After any course, keep the efficiency going with the 334 practice questions for the NISM Series VII - Securities Operations and Risk Management Certification — every answer expert-verified.
NISM Series VII - Securities Operations and Risk Management Certification Sample Questions:
In the context of the Securities Trade Life Cycle, specific activities are categorized into Front Office, Middle Office, and Back Office operations. Based on the NISM workbook, which of the following combinations correctly maps these activities to their respective offices?
- A. Front Office: Clearing; Middle Office: Risk Management; Back Office: Placing of Order
- B. Front Office: Trade Confirmation; Middle Office: Routing of order; Back Office: Order Matching
- C. Front Office: Risk Management; Middle Office: Order Matching; Back Office: Clearing and Settlement
- D. Front Office: Settlement; Middle Office: Order Matching; Back Office: Risk Management
- E. Front Office: Routing of order; Middle Office: Risk Management; Back Office: Confirmation of trades
Correct Answer: E 🗳️
Explanation: Only visible for ActualVCE members. You can sign-up / login (it's free).
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. Immediately upon receipt of a market rumour regarding the security
- B. Whenever the account balance falls below the minimum required balance
- C. Upon implied consent derived from the client's trading pattern
- 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 🗳️
Explanation: Only visible for ActualVCE members. You can sign-up / login (it's free).
In the context of Interest Rate Derivatives traded on Indian exchanges, specifically for single bond futures on Government of India (GOI) securities, how is the final settlement price determined if the liquidity criteria in the underlying bond are not met during the last two hours of trading?
- A. It is derived from the theoretical price formula: Cash Price + Financing Cost - Income on cash position.
- B. It is the simple average of the best bid and ask prices available on the NDS-OM platform at 5:00 PM.
- C. It is based on the polling of prices from the top 5 Primary Dealers if less than 10 trades are executed on the exchange.
- D. If less than 5 trades are executed in the underlying bond during the last two hours, the FIMMDA/FBIL price shall be used.
- E. It is calculated based on the Value Weighted Average Price (VWAP) of the underlying bond executed during the last 30 minutes of trading on the NDS-OM platform.
Correct Answer: D 🗳️
Explanation: Only visible for ActualVCE members. You can sign-up / login (it's free).
Which of the following statements accurately describe the settlement mechanisms and schedules in the Indian Securities Market?
(Select all that apply)
- A. Exchange-traded equity derivatives contracts on Indices are cash-settled.
- B. In Cash Settlement of derivatives, counterparties exchange the underlying physical asset upon expiry.
- C. The final settlement of Currency Derivatives occurs on a T+1 basis.
- D. Funds pay-in for the T+1 settlement cycle in the Cash Market must occur by 11 AM on T+1 day.
- E. Equity Cash market trades executed on T day are settled on T+1 day.
Correct Answer: A,D,E 🗳️
Explanation: Only visible for ActualVCE members. You can sign-up / login (it's free).
Which of the following statements accurately describe the application of the 'Close Out' procedure by the Clearing Corporation? (Select all that apply)
- A. Any surplus proceeds from a close out are credited to the defaulting party's settlement account.
- B. Delivery shortages in securities undergoing corporate action are directly closed out.
- C. Close out is conducted if an auction for short delivery finds no sellers.
- D. Securities under 'Trade for Trade' category are subject to direct close out without an auction.
- E. The close out price is strictly fixed at the closing price of the trade day for all scenarios.
Correct Answer: B,C,D 🗳️
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