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NISM NISM-Series-VII Exam Syllabus Topics:

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

Question 1

Under the SCORES 2.0 mechanism, complaints are monitored by a 'Designated Body' to ensure timely redressal. Who acts as the Designated Body for complaints lodged against a Stock Broker?

A. The Association of Mutual Funds in India (AMFI)
B. The Investor Protection Fund Trust
C. Securities and Exchange Board of India (SEBI)
D. The Depository (NSDL or CDSL)
E. The Stock Exchange

Question 2

Under the framework for validation of instructions for Pay-In of securities, which of the following scenarios results in the immediate rejection of the transfer instruction by the Depositories?

A. When there are discrepancies in details like UCC, TM ID, CM ID, or ISIN between the instruction and the obligation data.
B. When the instruction is initiated by a Power of Attorney (POA) holder instead of the client directly.
C. When the quantity in the instruction is exactly equal to the obligation provided by the Clearing Corporation.
D. When the quantity in the instruction is less than the obligation provided by the Clearing Corporation.
E. When the instruction is received on T+1 day instead of T day.

Question 3

Regarding the 'Default Waterfall' in the context of the Net Settlement mechanism for Cash and F&O segments, which of the following statements is correct?

A. The Core Settlement Guarantee Fund (SGF) of the F&O segment is utilized first for any default arising from the net settlement obligation.
B. Clearing Corporations create a unified single default waterfall covering both segments to match the merged settlement.
C. The default waterfall is triggered only after liquidating the defaulting member's proprietary assets across all exchanges.
D. Clearing Corporations continue to maintain segment-wise default waterfalls, and losses are computed on the basis of segment-wise obligations on a pro-rata basis.
E. Default losses are covered solely by the Investor Protection Fund (IPF) in the case of net settlement defaults.

Question 4

Which of the following statements are CORRECT regarding the Settlement of Securities in the Indian Cash Market? (Select all that apply)

A. Purchasers of securities are required to issue a fresh receipt instruction to their DP for every transaction, as standing instructions are prohibited.
B. As a consequence of Direct Payout, the timing of the securities payout has been revised to 3:30 PM.
C. The securities direct pay-out mandated by SEBI is applicable to all clients, including those having arrangements with registered custodians.
D. Clients can authorize the broker via DDPI to access their BO account for the limited purpose of meeting pay-in obligations.
E. In case of holidays, the CCs settle trades on a sequential basis, ensuring the pay-out of the first settlement is completed before the pay-in of the subsequent settlement.

Question 5

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

Solutions: