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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Under the framework for 'Upstreaming of clients' funds', how should a Trading Member (TM) handle the funds received from clients whose running accounts have been settled?

A) The funds can be used for the TM's operational expenses provided they are replaced within 24 hours.
B) The funds must remain in the 'Up Streaming Client Nodal Bank Account' and cannot be used for settlement of running accounts of other clients.
C) The funds must be immediately transferred to the TM's proprietary account.
D) The funds can be used to settle the running accounts of other clients to ensure liquidity.
E) The funds should be invested in equity mutual funds to generate returns for the client.

2. In the T+1 rolling settlement process for the Cash Market, how is the 'Pay-in of Funds' executed between the Clearing Member and the Clearing Corporation?

A) The Clearing Member issues a physical cheque to the Clearing Corporation by 11 AM.
B) The Clearing Member transfers funds via RTGS to the Exchange's Investor Protection Fund.
C) The Clearing Corporation advises the Clearing Bank to debit the Clearing Member's account and credit the Clearing Corporation's account.
D) The Clearing Bank automatically debits the member's account based on the trade data received directly from the Stock Exchange.
E) The Clearing Corporation pulls funds directly from the client's bank account via the UPI block mechanism.

3. Which of the following scenarios is explicitly EXEMPT from the mandatory periodic settlement of running accounts for funds?

A) Institutional clients settling trades through custodians.
B) Clients who have logged into their trading account at least once in the last 30 days.
C) Clients trading in the derivatives segment only.
D) Clients who have a credit balance of less than Rs. 1 lakh.
E) High Net Worth Individuals (HNls) who have provided a written waiver.

4. Which of the following statements are TRUE regarding the management, accruals, and usage of the Core Settlement Guarantee Fund (Core SGF)? (Select all that apply)

A) CC contribution to Core SGF is treated as a liability and excluded from its net worth.
B) The Regulatory Oversight Committee (ROC) of the Clearing Corporation manages the Core SGF.
C) Any penalties levied by the Clearing Corporation shall be credited to the Core SGF corpus.
D) Interest on cash contribution to Core SGF accrues to the Clearing Corporation as management fees.
E) Stock Exchanges are allowed to transfer excess contribution made by them from the Core SGF of one CC to the Core SGF of another CC in an inter-operable scenario.

5. Stock brokers provide various types of research reports to assist investors. Specifically, what content is a 'Sector Research' report expected to cover to help investors in their decision-making process?

A) Details on how an industry is faring and whether current policies favour the industry.
B) Mathematical models for algorithmic trading strategies.
C) A comprehensive list of all IPOs expected to hit the market in the next financial year.
D) Confidential insider information regarding upcoming mergers and acquisitions.
E) Detailed technical analysis of stock price movements and volume data for specific scrips.

Solutions: