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

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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. According to SEBI guidelines regarding the corpus of the Investor Protection Fund (IPF), specific penalties collected by Stock Exchanges contribute to the fund. What is the prescribed quantum of penalty collected from Trading Members (TMs) for default in pay-in by an investor in an Offer For Sale (OFS) transaction that must be credited to the IPF?

A) 10% of the order value
B) 5% of the trade value
C) 1% of the trade value
D) 20% of the shortage amount
E) 2% of the order value

2. In the context of risk management for the T+0 settlement cycle, how are securities shortages handled if a selling member fails to deliver shares?

A) By conducting an auction session on T+1 day along with the regular market auction.
B) Security shortages are directly closed out at 10% above the highest price of the day across all exchanges for the T+0 market.
C) By conducting an auction session on T+0 day at 2:30 PM.
D) By imposing a standard valuation debit of 20% above the closing price.
E) The trade is annulled, and the buyer is refunded the transaction amount without penalty.

3. 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) Promissory Notes issued by private individuals for personal loans
B) Fixed Deposit Receipts issued by Scheduled Commercial Banks
C) Real Estate Sale Deeds registered under the Registration Act
D) Electronic Gold Receipts issued on the basis of deposit of underlying physical gold
E) Insurance Policies linked to Unit Linked Insurance Plans (ULIPs)

4. SEBI introduced the 'Demat Debit and Pledge Instruction' (DDPI) to replace the Power of Attorney (POA) for certain functions. For which of the following specific purposes does the DDPI authorize the stock broker/stock broker and depository participant to access the client's beneficial owner (BO) account?

A) Opening a new demat account with another depository participant on behalf of the client.
B) Executing off-market trades between parties other than related parties.
C) Meeting pay-in obligations for the settlement of trades executed by the client.
D) Updating the client's address and contact details in the KRA system.
E) Transferring funds from the client's bank account to the broker's proprietary account.

5. The interoperability framework among Clearing Corporations (CCs) allows Clearing Members to select the CC of their choice. Which of the following products or schemes is explicitly excluded from this interoperability framework?

A) Interest Rate Derivatives
B) Equity Derivatives
C) Currency Derivatives
D) Equity Cash Segment
E) Securities Lending and Borrowing Scheme (SLB)

Solutions: