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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Stock Exchanges are required to maintain Investor Service Centres (ISCs) to assist investors. Which of the following facilities is mandatorily required to be provided at all ISCS according to SEBI guidelines?

A) A dedicated legal aid clinic with free lawyers for filing civil suits.
B) A direct hotline to the Ministry of Finance.
C) A library containing all annual reports of listed companies for the last 10 years.
D) Arbitration and appellate arbitration facility including video-calling facility.
E) A banking counter for immediate disbursement of Investor Protection Fund claims.

2. To bring transparency to the Investor Grievance Redressal Mechanism, stock brokers are mandated to disclose data on complaints received and redressed on their respective websites. What is the specific deadline for this disclosure?

A) By the last day of the succeeding month
B) By the 7th of the succeeding month
C) Within 21 days of the end of the quarter
D) By the 10th of the succeeding month
E) By the 15th of the succeeding month

3. 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) 20% of the shortage amount
B) 10% of the order value
C) 5% of the trade value
D) 2% of the order value
E) 1% of the trade value

4. In the context of clearing membership on a Stock Exchange, identify the member category that possesses only clearing rights (no trading rights) and is authorized to clear and settle trades executed by both trading members and custodian participants.

A) Authorized Person (AP)
B) Professional Clearing Member (PCM)
C) Trading Member (TM)
D) Trading cum Self-clearing Member (SCM)
E) Trading Member-cum-Clearing Member (TCM)

5. Which of the following statements accurately describe the operational procedures and timelines within the Clearing Process of the Indian securities market (Cash Segment)? (Select all that apply)

A) Institutional trades are subject to upfront margin collection similar to retail client trades.
B) Final obligations for funds and securities are downloaded to members by the Clearing Corporation on T+1 day by 9:00 am.
C) Clearing Members are required to maintain a single consolidated clearing account for all segments (Cash, Derivatives, Debt) to facilitate netting.
D) The Clearing Corporation performs multilateral netting to determine the net settlement obligations of clearing members.
E) Modification of the Custodial Participant (CP) code is permitted on T day up to 4:15 pm.

Solutions: