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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Regarding the execution of a 'Delivery Instruction Slip' (DIS) for debiting a beneficiary account in a depository, which of the following conditions is **MANDATORY** for the instruction to be processed?

A) The DIS must be physically submitted even if the client has enabled electronic DIS facilities.
B) The execution date on the DIS cannot be a future date; it must be the same as the submission date.
C) The DIS must be signed only by the primary holder in case of joint accounts.
D) The DIS must be counter-signed by a SEBI registered official.
E) The DIS must clearly indicate whether the trade is an 'off-market' trade or a 'market' trade.

2. Regarding the operational timeline for the auction of securities by the Clearing Corporation under the compulsory rolling settlement, which of the following statements is accurate?

A) Members participating in the auction must deliver the shares immediately within 1 hour of acceptance of their offer.
B) Auctions are conducted on the T+2 day to allow members extra time to arrange securities.
C) If an auction is not successful in the first attempt, it is automatically rescheduled for the next three consecutive days.
D) The auction for undelivered quantities is conducted on the settlement day itself, typically after the completion of the pay-out process.
E) Auctions are held exclusively during the pre-open session of the next trading day.

3. Clearing Members perform three core functions: Clearing, Settlement, and Risk Management. Which of the following activities correctly falls under the 'Risk Management' function of a Clearing Member?

A) Confirming the genuineness of transaction details provided by the Clearing Corporation.
B) Computing obligations of all trading members to determine positions to settle.
C) Performing the actual transfer of funds and securities to the Clearing Corporation.
D) Opening demat accounts for retail clients.
E) Setting limits based on upfront deposits/margins for each trading member/client and monitoring positions on a continuous basis.

4. Under the framework for 'Settlement of Account of Clients', specific provisions exist for clients who have not traded for a certain period. If a client has a credit balance but has not executed any transaction in the last 30 calendar days, how must the Trading Member (TM) handle the settlement of funds?

A) The TM must return the entire credit balance to the client on the upcoming settlement date of the monthly running account settlement cycle, irrespective of the client's preference for a quarterly cycle.
B) The TM is permitted to transfer the funds to the Investor Protection Fund (IPF) if the client remains inactive for more than 30 days.
C) The TM must settle the account within 24 hours of the 30th day of inactivity.
D) The TM must retain the funds until the next quarterly settlement date chosen by the client.
E) The TM can continue to maintain the running account if the credit balance is below ? 10,000.

5. Consider the following 'Sell' order book for a security. A new Buy Limit Order for 500 shares at a price of Rs. 121.50 is entered into the system.

Based on the price-time priority mechanism, how will this buy order be executed?

A) 500 shares @ Rs. 121.50
B) The order will remain pending as the full quantity cannot be matched at a single price.
C) 200 shares @ 121.50, 200 shares @ 121.40, and 100 shares @ 121.20
D) 150 shares @ 121.20, 200 shares @ 121.40, and 150 shares @ 121.50
E) 50 shares @ 121.20, 100 shares @ 121.20, 200 shares @ 121.40, and 150 shares @ 121.50

Solutions: