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NISM NISM-Series-VII Exam Syllabus Topics:

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

Question 1

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

Question 2

Which of the following statements accurately describe the operational mechanisms and participants of the Indian Money Market segments? (Select all that apply)

A. Notice Money transactions refer to borrowing for a period specifically between 15 days and 1 year.
B. Repo transactions against Government Securities are traded/reported on the Clearcorp Repo Order Matching System (CROMS).
C. Treasury Bills (T-bills) are zero coupon securities issued at a discount and traded on the NDS-OM platform.
D. Call money market transactions are restricted to Scheduled Commercial Banks (SCBs) and Primary Dealers (PDs).
E. All India Financial Institutions can issue Certificates of Deposit (CDs) for a period not exceeding 1 year.

Question 3

Under the SEBI (Infrastructure Investment Trusts) Regulations, 2014, if an InvlT raises funds via private placement, which of the following combinations of 'minimum investment' and 'trading lot' criteria must be met?

A. Minimum Investment: Rs. 1 Crore; Trading Lot: Rs. 25 Lakhs
B. Minimum Investment: Rs. 50 Lakhs; Trading Lot: Rs. 10 Lakhs
C. Minimum Investment: Rs. 10,000; Trading Lot: Rs. 5 Lakhs
D. Minimum Investment: Rs. 10 Lakhs; Trading Lot: 1 Unit
E. Minimum Investment: Rs. 25 Crores; Trading Lot: 1 Unit

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

Question 5

In the context of the settlement mechanism for institutional transactions, if a Custodian rejects a trade allocated to them by a broker, how is the settlement of such a rejected trade processed?

A. The settlement is deferred to T+2 to allow for re-confirmation.
B. The trade is settled through the Delivery Versus Payment (DVP) basis.
C. The Clearing Corporation settles the trade using the Core Settlement Guarantee Fund.
D. The trade is annulled by the Stock Exchange immediately.
E. The trade is transferred to the broker's error account for liquidation.

Solutions: