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NISM NISM-Series-VII Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Indian Securities Market | - Overview of the Indian securities market
|
| Investor Grievance Redressal | - Process of investor grievances redressal
|
| Risk Management | - Risk management in a securities broking firm
|
| Regulatory Framework | - Role of the Securities and Exchange Board of India (SEBI)
|
| Securities Broking Operations | - Front Office, Middle Office and Back Office functions in a Securities Broking Firm
|
| Trade Life Cycle | - Steps and participants involved in the trade life cycle
|
NISM Series VII - Securities Operations and Risk Management Certification Sample Questions:
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
Correct Answer: E 🗳️
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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.
Correct Answer: A 🗳️
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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.
Correct Answer: D 🗳️
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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.
Correct Answer: B,D,E 🗳️
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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
Correct Answer: E 🗳️
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