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

1. With the implementation of direct pay-out of securities to client accounts by Clearing Corporations, what is the revised timing for the pay- out of securities in the T+1 rolling settlement cycle?

A) 9:00 AM on T+2 day
B) End of Day (EOD) on T day
C) 1:30 PM on T+1 day
D) 3:30 PM on T+1 day
E) 10:30 AM on T+1 day

2. For which specific category of clients is the 'Block Mechanism' in the demat account for sale transactions explicitly applicable?

A) High Net Worth Individuals (HNIs) trading in the F&O segment.
B) Non-Resident Indians (NRIs) dealing through a Portfolio Investment Scheme (PIS).
C) Corporate clients trading through a proprietary account of the Trading Member.
D) Retail investors using the Application Supported by Blocked Amount (ASBA) facility.
E) Clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.

3. In the context of the T+1 rolling settlement cycle for the Cash Segment, by what specific time must the custodial confirmation of trades be completed on the T+1 day to ensure the timely determination of final obligations by the Clearing Corporation?

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. SEBI has issued guidelines regarding the discontinuation of usage of pool accounts for transactions in units of Mutual Funds on Stock Exchange Platforms. Under this framework, which of the following practices is explicitly **PERMITTED** as an exception to the general rule against routing units through pool accounts?

A) Crediting subscription units to the broker's pool account for reconciliation before transferring to the client.
B) Routing funds for subscription through the broker's clearing bank account for clients availing margin trading facilities.
C) Holding non-demat units in a 'Client Unpaid Securities Account' if the client defaults on the subscription payment.
D) Issuance of Delivery Instruction Slip (DIS) to the Depository Participant to debit units held in dematerialized mode for delivery to the Clearing Corporation during redemption.
E) Pooling of redemption proceeds in the broker's settlement account for deduction of statutory levies before payout to the client.

5. When determining the settlement obligations in a scenario involving holidays, why is the sequential basis of settlement (completing first settlement before starting the next) critically important?

A) It allows the Clearing Corporation to recalculate margins for the previous week.
B) It prevents members from trading in the derivatives segment during the cash market settlement.
C) It allows the stock exchange to close the market early.
D) It is required to separate institutional trades from retail trades.
E) It ensures that the pay-out (cash/securities) from the first settlement is available to the member to meet obligations for the subsequent settlement.

Solutions: