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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Select the correct statements regarding the regulations governing the modification of Client Codes and Custodial Participant (CP) Codes for trades executed on Indian Stock Exchanges. (Select all that apply)

A) Modification between client codes of two unrelated institutional clients will be subject to penalty.
B) Shifting of trades to the 'error account' of the broker is not treated as modification of client code, provided the trades are subsequently liquidated.
C) Members can modify the Custodial Participant (CP) Code on the T+1 day until 11 AM.
D) Stock Exchanges may allow modifications of client codes of non-institutional trades only to rectify a genuine error in entry of client code.
E) Proprietary trades can be modified as client trades and vice versa if the request is made within 45 minutes of trade execution.

2. Regarding participation in the International Financial Services Centres (IFSC), which of the following categories of resident investors is eligible to deal in securities listed in IFSC?

A) Any resident individual irrespective of investment limit.
B) Only resident corporate entities with a net worth exceeding Rs. 100 Crore.
C) A person resident in India eligible under FEMA to invest funds offshore, to the extent allowed under the Liberalized Remittance Scheme (LRS).
D) Only resident Qualified Institutional Buyers (QIBs).
E) Residents are strictly prohibited from dealing in securities listed in IFSC.

3. Under the Beta version of the T+0 rolling settlement cycle, how are securities shortages handled differently compared to the standard T+1 settlement cycle?

A) Shortages are settled using the Securities Lending and Borrowing (SLB) mechanism immediately.
B) Shortages are carried forward to the T+1 auction session.
C) The trade is annulled and no close out or auction is performed.
D) Security shortages are directly closed out at 10% above the highest price of the day across all exchanges for the T+0 market.
E) Shortages are auctioned on T+0 day at 4:00 PM.

4. If a clearing member fails to fulfill the margin obligations, the clearing agency has the authority to initiate disciplinary actions without further notice. Which of the following is explicitly listed as a potential action in such a scenario?

A) Mandatory conversion of the clearing member to a trading-only member.
B) Transfer of client positions to the Investor Protection Fund.
C) Permanent cancellation of the certificate of registration.
D) Withdrawal of trading facilities and/or clearing facility and close out of outstanding positions.
E) Seizure of the member's personal assets outside the clearing system.

5. Which of the following statements accurately describe the operational aspects of the Beta version of T+0 rolling settlement cycle introduced by SEBI? (Select all that apply)

A) Trading timings for the T+0 session are from 09:15 AM to 3:30 PM.
B) An auction session will be conducted on T+0 day itself for any securities shortage.
C) Security shortages shall be directly closed out at 10% above the highest price of the day across all exchanges for T+0 market.
D) There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycles.
E) Pay-in for T+0 sell obligations is allowed only by way of early pay-in using the block mechanism.

Solutions: