Exam Name: NISM Series VII - Securities Operations and Risk Management Certification
Certification Provider: NISM
Corresponding Certification: National Institute of Securities Markets
Over 57019+ Satisfied Customers
NISM Series VII - Securities Operations and Risk Management Certification: NISM-Series-VII Exam
"NISM Series VII - Securities Operations and Risk Management Certification", also known as NISM-Series-VII exam, is a NISM Certification. With the complete collection of questions and answers, iPassleader has assembled to take you through 334 Q&As to your NISM-Series-VII Exam preparation. In the NISM-Series-VII exam resources, you will cover every field and category in National Institute of Securities Markets Certification helping to ready you for your successful NISM Certification.
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- Updated on: Oct 18, 2026
- No. of Questions: 334 Questions & Answers
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- Updated on: Oct 18, 2026
- No. of Questions: 334 Questions & Answers
Core knowledge and key points first. The NISM-Series-VII question bank at iPassleader is organized around the heart of the NISM Series VII - Securities Operations and Risk Management Certification syllabus, with expert-verified answers, so your study hours land where the exam actually concentrates.
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 |
| Exam Price: | INR 1500 |
| Certificate Validity Period: | 3 years |
| Exam Duration: | 120 minutes |
| Available Languages: | English, Hindi |
| Exam Format: | Computer-based Test (CBT), Multiple Choice Questions (MCQ) |
| Passing Score: | 60% |
| Real Exam Qty: | 100 |
| Recommended Training: | NISM Certification Study Resources NISM Official Workbook - Series VII SORM |
| Exam Registration: | NISM Official Website NISM Certification Registration Portal |
| Sample Questions: | DOWNLOAD DEMO |
| 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: Risk Management in Securities Markets | - Risk mitigation systems
|
| Topic 2: Securities Market Operations | - Trading process
|
| Topic 3: Clearing and Settlement | - Settlement systems
|
| Topic 4: Depository Operations | - Demat account framework
|
Questions NISM Series VII - Securities Operations and Risk Management Certification Candidates Ask Us Most
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NISM defines the following prerequisites for the NISM Series VII - Securities Operations and Risk Management Certification: No formal prerequisite required.
Verify the current requirements on the official certification page before booking.
The current exam information lists 100 questions for the NISM-Series-VII exam, with 120 minutes minutes allowed. Practicing with a timer beforehand turns the limit into a familiar rhythm.
NISM points candidates to these official training options:
Combine structured training with regular question practice for the sturdiest preparation.
Through continuous research and development, and speed. Our technicians and experts work on the NISM-Series-VII bank daily, updating the database the moment the actual exam content changes — more frequently than typical offerings on the market. The bank is organized around the core knowledge and key points of the NISM Series VII - Securities Operations and Risk Management Certification syllabus, every answer is expert-verified, and delivery is immediate after payment. Customers come first here, and the free demo lets you verify all of it before spending anything.
The NISM Series VII - Securities Operations and Risk Management Certification blueprint is built on these principal domains:
- Depository Operations
- Risk Management in Securities Markets
- Securities Market Operations
The official outline continues with additional domains — the question bank covers the full set.
At present, the passing score for the NISM-Series-VII exam is 60% and the registration fee is INR 1500. Both belong to NISM and can change, so confirm them on the official site when you register.
Registration is handled through the official channels listed here:
Select a test center or online appointment, and book early — the most convenient slots fill first.
NISM Series VII - Securities Operations and Risk Management Certification Sample Questions:
In certain market segments or scenarios, the Clearing Corporation bypasses the auction mechanism and directly initiates a 'Close Out' for delivery shortages. Which of the following is a specific case where this direct close-out procedure is mandated?
- A. Shortages arising from institutional trades not confirmed by the Custodian.
- B. Shortages where the value is less than Rs. 1 Lakh.
- C. Shortages in liquid securities (Group l) where the impact cost is less than 1%.
- D. Internal shortages within a broker's firm that could not be resolved via self-auction.
- E. Trades executed in the Block Deal window.
Correct Answer: E 🗳️
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A trader has bought 1000 shares of XYZ Ltd. at Rs. 500 and wants to limit the potential loss to roughly Rs. 20 per share using a Sell Stop Loss order. Which of the following combinations of 'Trigger Price' and 'Limit Price' represents a valid and logical Stop Loss Limit order configuration for this purpose?
- A. Trigger Price: Rs. 20; Limit Price: Rs. 0
- B. Trigger Price: Rs. 500; Limit Price: Rs. 480
- C. Trigger Price: Rs. 480; Limit Price: Rs. 478
- D. Trigger Price: Rs. 480; Limit Price: Rs. 485
- E. Trigger Price: Rs. 520; Limit Price: Rs. 525
Correct Answer: C 🗳️
Explanation: Only visible for iPassleader members. You can sign-up / login (it's free).
In the context of handling settlements during holidays, specific provisions are made regarding the utilization of assets received from a prior settlement. How is the pay-out from the first settlement treated in relation to subsequent obligations?
- A. It is returned to the Clearing Corporation to cover potential shortfalls in the subsequent settlement's auction.
- B. The cash or securities pay out from the first settlement shall be made available to the member for meeting his pay-in obligations for the subsequent settlement(s).
- C. It must be transferred to the client's beneficiary account immediately and cannot be used for subsequent proprietary obligations.
- D. It is locked in the member's pool account for 24 hours to prevent misuse.
- E. It is automatically converted into liquid assets and pledged to the Core Settlement Guarantee Fund.
Correct Answer: B 🗳️
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Clearing Members are required to provide an irrevocable authorization to their Clearing Bank regarding the operation of their clearing accounts. What constitutes the specific scope of this authorization concerning the Clearing Corporation's access?
- A. To transfer funds between the Cash and Derivatives segments without specific instructions from the Clearing Corporation.
- B. To debit and credit the clearing accounts as per instructions and report balances/information to the Clearing Corporation.
- C. To audit the member's proprietary trading books and freeze accounts in case of high volatility.
- D. To allow the Clearing Bank to use the idle funds in the clearing account for its own treasury operations.
- E. To automatically convert funds into approved securities if the balance exceeds a specified threshold.
Correct Answer: B 🗳️
Explanation: Only visible for iPassleader members. You can sign-up / login (it's free).
Once a conciliator is appointed by the ODR Institution, what is the prescribed timeline for the disputing parties to reach an amicable resolution, and under what condition can this period be extended?
- A. 30 calendar days, extendable by 15 days upon approval by the MI.
- B. 10 calendar days, extendable by 10 calendar days upon payment of late fees.
- C. 15 calendar days, extendable by 7 days if the conciliator deems it necessary.
- D. 45 calendar days, with no provision for extension to ensure speedy disposal.
- E. 21 calendar days, extendable for a maximum period of 10 calendar days by consent of the disputing parties.
Correct Answer: E 🗳️
Explanation: Only visible for iPassleader members. You can sign-up / login (it's free).
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