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NISM NISM-Series-VII Exam Syllabus Topics:

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

Question 1

Regarding the utilization of proceeds generated from an Auction or Close-out procedure, what is the regulatory requirement for handling any residual amount remaining after settling the claim of the aggrieved party?

A. It is distributed equally among all non-defaulting clearing members.
B. It is transferred to the SEBI General Fund.
C. It is returned to the defaulting member after deducting a 1% processing fee.
D. It should be credited to the Core Settlement Guarantee Fund (Core SGF).
E. It must be credited to the Investor Protection Fund (IPF) of the Exchange.

Question 2

Which of the following statements correctly differentiates the operational and regulatory features of 'Triparty Repo' (TREPS) and 'Repo in Corporate Bonds' in the Indian Debt Market?

A. Triparty Repo on corporate bonds uses the NDS-OM platform, while Government Securities use the RFQ platform.
B. Corporate Bond Repo allows participants to borrow funds against the collateral of their own securities, whereas TREPS prohibits this.
C. In TREPS, the seller cannot substitute the security during the repo period, whereas in Corporate Bond Repo, substitution is mandatory.
D. In TREPS, the seller of the security has a right to substitute the security, and funds borrowed are exempted from CRR/SLR computation.
E. Settlement for Corporate Bond Repo is guaranteed by the RBI directly, while TREPS is settled bilaterally without a central counterparty.

Question 3

According to the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, from whom must an issuer obtain 'in-principle approval' for listing securities before issuing further shares, specifically in the case where the company is not listed on any exchange having nationwide trading terminals?

A. From any one recognized stock exchange having nationwide trading terminals
B. From the Registrar of Companies (ROC) where the company is registered
C. Only from the Securities and Exchange Board of India (SEBI)
D. From all the stock exchange(s) in which the securities of the issuer are proposed to be listed
E. From the stock exchange with the highest trading volume in the previous financial year

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

Question 5

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 7:30 AM on T+1 Day
C. By 4:15 PM on T Day
D. By 1:30 PM on T+1 Day
E. By 9:00 AM on T+1 Day

Solutions: