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NISM NISM-Series-VII Exam Syllabus Topics:

NISM Series VII - Securities Operations and Risk Management Certification Sample Questions:

1. 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)

2. 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

3. 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.

4. 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.

5. 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.

Solutions: