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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. When handling 'Trade Allocation' for institutional clients in the back office, how is a single order placed with the Custodial Participant code 'INST' processed?

A) The back office aggregates multiple 'INST' orders into a single block trade for reporting to the Exchange.
B) The trade is automatically allocated pro-rata to all active clients of the broker to ensure fair distribution.
C) The 'INST' code is replaced with the broker's proprietary account code, and the trade is settled as a proprietary trade.
D) The back office receives deal sheets from the front office and distributes the single trade across various sub-schemes of the client, generating appropriate contract notes.
E) The trade is kept in a suspense account until the Custodian confirms the trade on T+2 day.

2. When a short delivery is identified, the Clearing Corporation debits the member by an amount equivalent to the securities not delivered valued at a specific price. What is this specific debit termed as?

A) Valuation Debit
B) Auction Pre-payment
C) Close-out Debit
D) Shortage Penalty
E) Provisional Margin Debit

3. To facilitate members in meeting their pay-in obligations for a subsequent settlement on a day with multiple settlements due to holidays, what specific requirement is imposed on Depositories regarding inter-depository transfers?

A) Depositories shall facilitate inter-depository transfers within one hour and before pay-in for the subsequent settlement begins.
B) Depositories are required to waive the transaction charges for inter-depository transfers executed on such days.
C) Depositories must process transfers instantly using the API-based immediate transfer mechanism.
D) Depositories must allow transfers only after the pay-out of the subsequent settlement is complete.
E) Depositories must suspend inter-depository transfers until all settlements for the day are concluded.

4. To ensure compliance with Margin Trading Facility (MTF) regulations, stock brokers are required to submit a certificate to the exchange.
What is the frequency and timeline for this submission?

A) Monthly; by the 7th of the succeeding month.
B) Quarterly; within 15 days from the end of the quarter.
C) Half-yearly; within one month from the half-year ending 31st March and 30th September.
D) Annually; along with the Annual Returns by October 31st.
E) Event-based; within 7 days of exceeding the exposure limits.

5. According to the SEBI circular dated April 05, 2022, regarding the use of Unified Payment Interface (UPI) in public issues of equity shares, which specific category of investors is mandated to use UPI and provide their UPI ID in the bid-cum-application form?

A) Non-lnstitutional Investors (NIIs) applying above Rs. 2 Lakhs.
B) Anchor Investors applying during the anchor book period.
C) Qualified Institutional Buyers (QIBs) applying up to Rs. 2 Lakhs.
D) All Individual Investors applying in Public issues where the application amount is up to 5 Lakhs.
E) All Retail Individual Investors applying for any amount.

Solutions: