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NISM NISM-Series-VII Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Securities Market Operations | - Trading process
|
| Topic 2: Risk Management in Securities Markets | - Risk mitigation systems
|
| Topic 3: Depository Operations | - Corporate actions
|
| Topic 4: Clearing and Settlement | - Settlement systems
|
NISM Series VII - Securities Operations and Risk Management Certification Sample Questions:
In the event of a failure by a selling broker to deliver securities in the normal T+1 rolling settlement, the Clearing Corporation initiates a
'Close Out' procedure if the auction fails or is not applicable. Consider a scenario where a trade was executed on Monday (T) at Rs. 500.
The auction was scheduled for Tuesday (T+1 ) but no shares were offered. The highest price prevailing across the Exchange from Monday to Tuesday was Rs. 540. The official closing price on Tuesday (Close-out day) was Rs. 550. At what price will the transaction be closed out?
- A. Rs. 600 (Highest price + 20% penalty)
- B. Rs. 550 (Official closing price on Close-out day)
- C. Rs. 660 (20% above the official closing price on the close out day)
- D. Rs. 648 (20% above the highest prevailing price)
- E. Rs. 540 (Highest price from T to Close-out day)
Correct Answer: C 🗳️
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Based on the Securities Contract Regulation Act (SCRA), 1956, select all the instruments that are explicitly included in the definition of 'Securities' from the list below.
- A. Electronic Gold Receipts
- B. Zero Coupon Zero Principal Instruments
- C. Derivatives
- D. Government Securities
- E. Private Promissory Notes between individuals
Correct Answer: A,B,C,D 🗳️
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Which of the following operational parameters and exclusions are correctly associated with the framework for the beta version of the T+0 rolling settlement cycle? (Select all that apply)
- A. Security shortages are handled through a dedicated auction session on T+0 day.
- B. Pay-in for sell obligations is allowed only via Early Pay-In using the block mechanism.
- C. Trading is not permitted on the Ex-date of securities.
- D. The price band is fixed at +1-5% relative to the T+1 market price without re-calibration.
- E. Pre-Open, Special Pre-Open, and Post close sessions are not applicable.
Correct Answer: B,C,E 🗳️
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Regarding the maintenance of a Running Account for funds by a stock broker for a client, which of the following statements accurately reflects the regulatory requirement for the actual settlement of funds?
- A. Settlement shall be done on the first Friday and/or Saturday of every month/quarter, based on the annual calendar issued jointly by Stock Exchanges.
- B. Settlement dates are determined individually by each stock broker based on their internal risk management policy.
- C. Settlement is mandatory only when the credit balance exceeds Rs. 10,000; otherwise, funds can be retained indefinitely.
- D. Settlement must occur within 24 hours of the payout for every transaction, regardless of the running account authorization.
- E. Settlement must be done on the last trading day of every month or quarter as per the client's preference.
Correct Answer: A 🗳️
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The mechanism for the validation of instructions for Pay-In of securities from a client demat account to a Member Pool Account is explicitly NOT applicable to which category of clients?
- A. High Net Worth Individuals (HNIs) using Power of Attorney (POA) services.
- B. Non-Resident Indians (NRIs) trading through a designated stock broker.
- C. Retail investors using the electronic Delivery Instruction Slip (eDIS) facility.
- D. Corporate clients trading in the derivatives segment only.
- E. Clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.
Correct Answer: E 🗳️
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