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Updated: Jul 19, 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-SORM |
| Certificate Validity Period: | 3 years |
| Exam Price: | INR 1500 |
| Passing Score: | 60% |
| Real Exam Qty: | 100 |
| Exam Format: | Multiple Choice Questions (MCQ), Computer-based Test (CBT) |
| Available Languages: | English, Hindi |
| Exam Duration: | 120 minutes |
| Recommended Training: | NISM Certification Study Resources NISM Official Workbook - Series VII SORM |
| Exam Registration: | NISM Certification Registration Portal NISM Official Website |
| Sample Questions: | NISM NISM-Series-VII Sample Questions |
| Exam Way: | Computer-based test at designated test centers or proctored online mode depending on NISM scheduling |
| Pre Condition: | No formal prerequisite required |
| Official Syllabus URL: | https://www.nism.ac.in |
NISM NISM-Series-VII Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Securities Market Operations | - Trading process
|
| Topic 2: Clearing and Settlement | - Settlement systems
|
| Topic 3: Depository Operations | - Demat account framework
|
| Topic 4: Risk Management in Securities Markets | - Risk mitigation systems
|
NISM Series VII - Securities Operations and Risk Management Certification Sample Questions:
1. Stock brokers are permitted to borrow funds for providing Margin Trading Facility (MTF) from specific sources. Which of the following sources is explicitly prohibited for raising funds for MTF?
A) Borrowing from Scheduled Commercial Banks.
B) Using surplus funds of one client to provide margin trading facility to another client.
C) Issuance of Commercial Paper (CP) subject to RBI guidelines.
D) Unsecured long-term loans from promoters and directors.
E) Borrowing from Non-Banking Financial Companies (NBFCs) regulated by RBI.
2. According to the Securities Contracts (Regulation) Act, 1956 (SCRA), the definition of 'Securities' has been expanded to include various instruments. Which of the following specific instruments is explicitly included in this definition as per the Act?
A) Electronic Gold Receipts issued on the basis of deposit of underlying physical gold
B) Insurance Policies linked to Unit Linked Insurance Plans (ULIPs)
C) Real Estate Sale Deeds registered under the Registration Act
D) Fixed Deposit Receipts issued by Scheduled Commercial Banks
E) Promissory Notes issued by private individuals for personal loans
3. When a delivery shortage is identified before the auction is conducted, the Clearing Corporation debits the clearing member by an amount equivalent to the securities not delivered, valued at a specific price. What is this pre-auction debit transaction formally called?
A) Valuation Debit
B) Shortage Collateral Block
C) Close-out Penalty
D) Provisional Margin Call
E) Auction Entry Fee
4. Which of the following instruments allows foreign companies to raise capital directly from the Indian securities market in Indian Rupees?
A) Foreign Currency Convertible Bonds (FCCBs)
B) External Commercial Borrowings (ECBs)
C) American Depository Receipts (ADRs)
D) Indian Depository Receipts (IDRs)
E) Global Depository Receipts (GDRs)
5. A clearing member fails to discharge their funds obligations at the notified time. According to the NISM workbook, this failure renders the member liable for specific consequences regarding their operations. Which of the following is explicitly mentioned as a potential liability/action?
A) Suspension of the clearing bank's license.
B) Withdrawal of trading facility.
C) Mandatory liquidation of all client assets held in the pool account.
D) Automatic cancellation of the certificate of registration by SEBI.
E) Immediate transfer of the clearing member's proprietary trades to the Investor Protection Fund.
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: A | Question # 3 Answer: A | Question # 4 Answer: D | Question # 5 Answer: B |
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