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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 context of adjustments for corporate actions such as Bonus, Rights, or Mergers in the Equity F&O segment, at what specific point in time is the adjustment carried out?

A) On the Record Date fixed by the company for the corporate action.
B) On the payout date of the relevant settlement cycle.
C) On the last day on which a security is traded on a 'cum' basis in the underlying equities market after the close of trading hours.
D) On the Ex-Date of the corporate action before the start of market hours.
E) On the date of the Board Meeting where the corporate action was announced.

2. A Trading Member executes sell orders in the T+0 settlement cycle. What is the mandatory mechanism required to fulfill the pay-in of securities for these sell obligations?

A) Inter-depository transfer to the settlement account of the Clearing Corporation post-trading hours.
B) Transfer to the Member Pool Account by 10:30 AM on T day.
C) Standard pay-in instruction via physical DIS submitted to the Depository Participant.
D) Auto-pledge of securities in favor of the Clearing Corporation.
E) Only by way of early pay-in (EPI) using the block mechanism.

3. For Securities Trading using Wireless Technology (STWT), specific operational and security controls are mandated to prevent misuse and ensure compliance. Which of the following statements regarding 'Session Login Details' and 'Server Location' is CORRECT?

A) Session login details should not be stored on the devices; The broker's server routing orders to the exchange trading system shall be located in India.
B) Session login details can be stored if biometric auth is enabled; The server must be located in a Tier-1 city.
C) Session login details must be encrypted and stored on the device; The server must be located within the Exchange premises.
D) Session login details should not be stored; The server location is at the discretion of the service provider.
E) Session login details can be stored on the device for ease of access; The server can be located anywhere globally.

4. Regarding 'Internal Shortages' within a broker's firm (where a selling client fails to deliver, but the broker has no net obligation to the Clearing Corporation due to an offsetting buy by another client), what is the specific regulatory advice concerning the handling of charges under the 'Direct Pay-out' of securities framework?

A) The broker must buy the shares from the open market on T+2 and can pass on the purchase cost plus a standard brokerage fee to the defaulting client.
B) Internal shortages must be reported to the Exchange, and the trade should be annulled with mutual consent of both clients.
C) The broker must conduct a private auction among its own clients and can charge a facilitation fee not exceeding 1% of the trade value.
D) The broker should handle such shortages through the process of auction as specified by CCs and is advised not to levy any charges on the client over and above the charges levied by the CCs.
E) The broker is mandated to close out the internal shortage at the highest price of the settlement cycle plus a 5% penalty credited to the Investor Protection Fund.

5. Which SEBI regulation lays down the general conditions for capital market issuances including Initial Public Offers (IPO), Rights Issues, and Qualified Institutional Placements (QIP)?

A) SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011
B) Securities Contracts (Regulation) Act, 1956
C) SEBI (Prohibition of Insider Trading) Regulations, 2015
D) SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018
E) SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015

Solutions: