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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. A Trading Member executes the following trades in a specific scrip on a given day:
* Buy 500 shares @ Rs. 100
* Sell 300 shares @ Rs. 105
* Buy 200 shares @ Rs. 95
What are the final Net Quantity and Net Fund obligations for the member to be settled with the Clearing Corporation?

A) Net Qty: 1000 (Receive); Net Funds: Pay Rs. 100,500
B) Net Qty: 400 (Deliver); Net Funds: Receive Rs. 37,500
C) Net Qty: 400 (Receive); Net Funds: Pay Rs. 69,000
D) Net Qty: 400 (Receive); Net Funds: Pay Rs. 37,500
E) Net Qty: 0; Net Funds: Receive Rs. 1,500

2. Certain types of complaints fall outside the purview of the SEBI Complaints Redress System (SCORES). Which of the following is explicitly NOT dealt with through SCORES?

A) Complaints against registered stock brokers regarding non-receipt of funds.
B) Complaints regarding dematerialization delays by a Depository Participant.
C) Complaints regarding unauthorized trading by a sub-broker.
D) Complaints against companies where a moratorium order is passed in insolvency proceedings.
E) Complaints against listed companies regarding non-receipt of dividends.

3. Regarding the issuance of Contract Notes by stock brokers, which of the following statements are legally and operationally correct as per regulations? (Select all that apply)

A) Electronic Contract Notes (ECNs) sent via email must be digitally signed, encrypted, and non-tamperable.
B) If an ECN bounces, the broker is not required to take further action if the client has opted for electronic delivery.
C) Contract notes should have a unique running serial number starting from the beginning of the financial year.
D) A contract note is valid even if it does not explicitly state the brokerage and statutory levies separately.
E) Contract notes must be issued within 24 hours of the execution of the trade.

4. Who is the 'Relevant Authority' empowered to decide on actions such as disciplinary actions or withdrawal of trading facility when a clearing member fails to discharge settlement dues?

A) The Reserve Bank of India (RBI)
B) The Relevant Authority (of the Exchange/Clearing Agency)
C) The Depository Participant (DP)
D) The Securities Appellate Tribunal (SAT)
E) The Association of Mutual Funds in India (AMFI)

5. A Trading Member executes sell orders in the T+0 settlement cycle. What is the mandatory mechanism required to fulfill the pay-in of securities for these sell obligations?

A) Inter-depository transfer to the settlement account of the Clearing Corporation post-trading hours.
B) Auto-pledge of securities in favor of the Clearing Corporation.
C) Transfer to the Member Pool Account by 10:30 AM on T day.
D) Standard pay-in instruction via physical DIS submitted to the Depository Participant.
E) Only by way of early pay-in (EPI) using the block mechanism.

Solutions: