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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Regarding the maintenance of a Running Account for funds by a stock broker for a client, which of the following statements accurately reflects the regulatory requirement for the actual settlement of funds?

A) Settlement shall be done on the first Friday and/or Saturday of every month/quarter, based on the annual calendar issued jointly by Stock Exchanges.
B) Settlement must be done on the last trading day of every month or quarter as per the client's preference.
C) Settlement must occur within 24 hours of the payout for every transaction, regardless of the running account authorization.
D) Settlement dates are determined individually by each stock broker based on their internal risk management policy.
E) Settlement is mandatory only when the credit balance exceeds Rs. 10,000; otherwise, funds can be retained indefinitely.

2. Which of the following instruments allow Indian companies to raise resources from international capital markets?

A) Indian Depository Receipts (IDRs)
B) Masala Bonds
C) External Commercial Borrowings (ECBs)
D) Global Depository Receipts (GDRs)
E) Foreign Currency Convertible Bonds (FCCBs)

3. Regarding the execution of a 'Delivery Instruction Slip' (DIS) for debiting a beneficiary account in a depository, which of the following conditions is **MANDATORY** for the instruction to be processed?

A) The execution date on the DIS cannot be a future date; it must be the same as the submission date.
B) The DIS must be physically submitted even if the client has enabled electronic DIS facilities.
C) The DIS must be counter-signed by a SEBI registered official.
D) The DIS must clearly indicate whether the trade is an 'off-market' trade or a 'market' trade.
E) The DIS must be signed only by the primary holder in case of joint accounts.

4. Regarding the premium settlement for option contracts, at what level is the premium payable or receivable value computed by the Clearing Corporation?

A) Gross at the Trading Member level but netted at the Clearing Member level.
B) Netting at the Clearing Member level across all segments.
C) After netting the premium payable or receivable positions at the Trading Member/Custodial Participant level for each option contract.
D) Gross at the individual client level without any netting.
E) Netting is done across all option contracts for a specific underlying security at the client level.

5. SEBI vide circular dated September 24, 2024, mandated the use of UPI for blocking funds for individual investors applying in public issues of debt securities up to Rs. 5 Lakh. However, a subsequent clarification dated October 18, 2024, permitted a specific alternative online submission method. What is this permitted alternative?

A) Submission via physical ASBA forms at designated Self Certified Syndicate Banks (SCSBs).
B) Submission through the General Ledger account of the Stock Broker.
C) Direct transfer of funds to the issuer's escrow account via NEFT/RTGS.
D) Submission via the dedicated mobile application of the Registrar and Transfer Agent.
E) Submission using the facility of linked online trading, demat, and bank account (3-in-l type accounts).

Solutions: