NISM NISM-Series-VII Exam : NISM Series VII - Securities Operations and Risk Management Certification

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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. A corporate stock broker with a net worth of Rs. 10 Crore wishes to offer the margin trading facility (MTF) to its clients. According to SEBI regulations, what is the maximum limit on the broker's total indebtedness for the purpose of margin trading and the maximum allowable exposure towards MTF?

A) Total Indebtedness: Rs. 50 Crore; Maximum Exposure: Borrowed Funds + Rs. 5 Crore
B) Total Indebtedness: Rs. 20 Crore; Maximum Exposure: Rs. 50 Crore
C) Total Indebtedness: Rs. 50 Crore; Maximum Exposure: Borrowed Funds + Rs. 10 Crore
D) Total Indebtedness: Rs. 30 Crore; Maximum Exposure: Borrowed Funds + Rs. 10 Crore
E) Total Indebtedness: Rs. 100 Crore; Maximum Exposure: 5 times Net Worth

2. Once a conciliator is appointed by the ODR Institution, what is the prescribed timeline for the disputing parties to reach an amicable resolution, and under what condition can this period be extended?

A) 15 calendar days, extendable by 7 days if the conciliator deems it necessary.
B) 30 calendar days, extendable by 15 days upon approval by the MI.
C) 45 calendar days, with no provision for extension to ensure speedy disposal.
D) 21 calendar days, extendable for a maximum period of 10 calendar days by consent of the disputing parties.
E) 10 calendar days, extendable by 10 calendar days upon payment of late fees.

3. Which of the following statements correctly reflect the regulatory framework and operational guidelines for the trading of Mutual Fund units on Stock Exchange Platforms? (Select all that apply)

A) Funds pay-in is directly received by the clearing corporation from the investor account and funds pay-out is directly made to the investor account.
B) Asset Management Companies (AMCs) must enter into an agreement with the Exchange/Clearing Corporation to provide this mechanism.
C) Only stock brokers can access the Exchange platform for Mutual Funds; Mutual Fund Distributors are explicitly excluded.
D) Stock brokers are permitted to pool funds in a specific 'Mutual Fund Nodal Account' before transferring to the Clearing Corporation.
E) For both demat and non-demat mode transactions, units shall be credited/debited directly to/from the investors' account without routing through the broker's pool account.

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

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

Solutions: