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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. What are the specific trading hours for the continuous trading session under the beta version of the T+0 rolling settlement cycle?

A) 10:00 AM to 2:00 PM
B) 09:15AM to 12:30 PM
C) 09:15 AM to 3:30 PM
D) 09:15AM to 1:30 PM
E) 09:00 AM to 3:30 PM

2. To ensure visibility of client collateral and prevent misuse, SEBI mandated a reporting mechanism. How is the disaggregated collateral information reported up the chain to the Clearing Corporation?

A) Clearing Members (CM) report only the aggregate figures to the CC, keeping client-level data internal.
B) Trading Members (TM) report directly to the Stock Exchanges, which then forward data to the CC.
C) Clients report directly to the Clearing Corporation via the web portal.
D) Trading Members (TM) report to the Clearing Member (CM), and the CM reports to the Stock Exchanges and Clearing Corporations.
E) Depositories report the collateral usage directly to the Clearing Corporation based on pledge data.

3. To safeguard client funds during the running account settlement process, SEBI has stipulated specific banking procedures. Which of the following statements correctly describes the requirement regarding the 'Up Streaming Client Nodal Bank Account' (USCNBA) during settlement?

A) Trading Members must ensure that funds received from clients whose running account has been settled remain in the USCNBA and are not used to settle other clients.
B) Funds can be moved to the broker's proprietary account temporarily to facilitate faster settlement payouts.
C) Funds in the USCNBA can be used for inter-client adjustments if the clients have provided specific consent in the KYC form.
D) USCNBA funds must be transferred to the Clearing Corporation's settlement account before being paid out to clients.
E) The USCNBA is used only for receiving funds from the Exchange, while client receipts are deposited in the Settlement Account.

4. Under the framework for validation of instructions for Pay-In of securities, which of the following scenarios results in the immediate rejection of the transfer instruction by the Depositories?

A) When the instruction is initiated by a Power of Attorney (POA) holder instead of the client directly.
B) When the quantity in the instruction is exactly equal to the obligation provided by the Clearing Corporation.
C) When there are discrepancies in details like UCC, TM ID, CM ID, or ISIN between the instruction and the obligation data.
D) When the quantity in the instruction is less than the obligation provided by the Clearing Corporation.
E) When the instruction is received on T+1 day instead of T day.

5. Which international capital market instrument issued by Indian companies is subscribed to by a non-resident in foreign currency and carries a fixed interest rate with a conversion feature?

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

Solutions: