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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 the 'Application Supported by Blocked Amount' (ASBA) facility processed by intermediaries in public issues, what is the critical pre-condition explicitly mandated by SEBI before the ASBA applications can be processed?

A) The syndicate member must issue a physical acknowledgement slip.
B) The physical form must be received by the Registrar.
C) The General Index Register (GIR) number must be verified.
D) The application must be uploaded to the Exchange bidding platform.
E) The application monies must be blocked in the investor's bank account.

2. SEBI has introduced the mechanism of Net Settlement of cash segment and F&O segment upon expiry of stock derivatives. Under which of the following conditions is this benefit of netting (merged settlements) specifically available to an investor?

A) When the investor trades and clears through the same Trading Member (TM) - Clearing Member (CM) combination in both Cash and F&O segments.
B) When the investor is a Portfolio Manager (PMS) directed to enter into delivery backed transactions only.
C) When the investor is an Institutional Investor (including FPIs) whose transactions are backed by delivery.
D) When the investor uses different Clearing Members for Cash and F&O segments but they are interoperable.
E) When the investor trades in highly correlated indices across different exchanges.

3. In the General Clearing Process for the Cash Segment under the T+1 rolling settlement cycle, by what specific time must the custodial confirmation of trades be completed on the T+1 day?

A) By 11:00 AM on T+1 Day
B) By 1:30 PM on T+1 Day
C) By 4:15 PM on T Day
D) By 9:00 AM on T+1 Day
E) By 7:30 AM on T+1 Day

4. Select the correct statements regarding the regulations governing the modification of Client Codes and Custodial Participant (CP) Codes for trades executed on Indian Stock Exchanges. (Select all that apply)

A) Proprietary trades can be modified as client trades and vice versa if the request is made within 45 minutes of trade execution.
B) Modification between client codes of two unrelated institutional clients will be subject to penalty.
C) Members can modify the Custodial Participant (CP) Code on the T+1 day until 11 AM.
D) Shifting of trades to the 'error account' of the broker is not treated as modification of client code, provided the trades are subsequently liquidated.
E) Stock Exchanges may allow modifications of client codes of non-institutional trades only to rectify a genuine error in entry of client code.

5. If the Core SGF is utilized during a calendar month due to a default, specific rules apply to the replenishment of contributions by members. Which of the following is the correct restriction on such replenishment?

A) Members must replenish the fund immediately after every default without any limit on the number of times in a month.
B) Contribution towards replenishment by members is restricted to only once during a period of 30 calendar days, regardless of the number of defaults during the period.
C) Replenishment is voluntary and depends on the profitability of the non-defaulting members.
D) Members are liable to replenish the fund only if the default amount exceeds Rs. 100 Crore.
E) Replenishment is deferred to the next financial quarter to avoid liquidity stress on members.

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