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NISM NISM-Series-VII Exam Syllabus Topics:

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

Question 1

Which of the following items are mandated contributions by the Stock Exchange to the Investor Protection Fund (IPF) according to SEBI guidelines? (Select all that apply)

A. 100% of the interest earned on the 1% security deposit kept by issuer companies (immediately on refund).
B. At least 20% of the listing fees received.
C. Penalties collected from listed companies for non-compliance with LODR Regulations.
D. 1% of the listing fees received, on a quarterly basis.
E. Penalty collected from Trading Members for deficiency in modification of client code.

Question 2

Which of the following statements accurately describe the process and components of 'Delivery Settlement' in the equity F&O segment?
(Select all that apply)

A. Delivery settlement is optional and can be cash settled if the client chooses.
B. The final deliverable/receivable positions at a clearing member are arrived at after netting the obligations of all clients/constituents clearing through them.
C. It applies to Index Futures and Index Options.
D. It considers all in-the-money option contracts which are exercised and assigned.
E. It considers all open futures positions after the close of trading on the expiry day.

Question 3

For a client availing the Margin Trading Facility (MTF) to purchase Group 1 equity shares that are NOT available for trading in the F&O segment, what is the applicable initial margin requirement that the stock broker must collect?

A. Span Margin + Exposure Margin
B. VaR Margin + Extreme Loss Margin (ELM)
C. VaR Margin + 5 times applicable Extreme Loss Margin
D. 40% of the trade value irrespective ofVaR and ELM
E. VaR Margin + 3 times applicable Extreme Loss Margin

Question 4

The relationship between a Depository Participant (DP) and a Depository is governed by an agreement. According to the regulatory norms, where is the form of this agreement specified?

A. In the Articles of Association of the Depository Participant
B. In the SEBI (Stock Brokers) Regulations, 1992
C. In the bye-laws of the Depository
D. In the Securities Contracts (Regulation) Rules, 1957
E. In the Master Circular for Depositories issued by RBI

Question 5

In the context of the settlement process, specifically regarding 'Settlement Dues', which of the following statements accurately describes the payment flow and the basis for such payments between the Clearing Agency and its members?

A. Settlement dues are legally payable only by Trading Members to the Stock Exchange, while the Clearing Agency manages only the securities settlement.
B. Clearing members and custodians pay the Clearing Agency whatever is due for settlement, and in turn, the Clearing Agency pays them moneys payable for every settlement, based on information provided by the Exchange or Clearing Agency.
C. The Clearing Agency collects settlement dues from Clearing Banks and distributes them to Clearing Members after deducting a statutory fee.
D. Clearing members pay the Clearing Agency based on data from the Depository, while the Clearing Agency pays Custodians based on Exchange data.
E. The Clearing Agency pays all dues to clients directly, bypassing the Clearing Members and Custodians, based on the obligation report.

Solutions: