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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Which of the following statements are TRUE regarding the management, accruals, and usage of the Core Settlement Guarantee Fund (Core SGF)? (Select all that apply)

A) Stock Exchanges are allowed to transfer excess contribution made by them from the Core SGF of one CC to the Core SGF of another CC in an inter-operable scenario.
B) CC contribution to Core SGF is treated as a liability and excluded from its net worth.
C) Any penalties levied by the Clearing Corporation shall be credited to the Core SGF corpus.
D) Interest on cash contribution to Core SGF accrues to the Clearing Corporation as management fees.
E) The Regulatory Oversight Committee (ROC) of the Clearing Corporation manages the Core SGF.

2. Regarding Indian Depository Receipts (IDRs) and the regulatory framework for their conversion or redemption into underlying equity shares, which of the following statements accurately reflects the permissible conditions?

A) The headroom for conversion is calculated based on the total paid-up capital of the issuing company rather than the specific number of IDRs issued.
B) Two-way fungibility is strictly prohibited; investors can only convert underlying shares into IDRs but cannot redeem IDRs into shares.
C) Redemption is permitted after 1 year from the date of listing, subject to available headroom calculated as originally issued IDRs minus outstanding IDRs adjusted for redemptions.
D) Investors can request redemption into underlying shares at any time, but the underlying shares must be held by a domestic custodian registered with SEBI.
E) Redemption is permitted immediately upon listing, provided the fungibility is restricted to one-way conversion from IDRs to shares only.

3. According to the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, from whom must an issuer obtain 'in-principle approval' for listing securities before issuing further shares, specifically in the case where the company is not listed on any exchange having nationwide trading terminals?

A) From any one recognized stock exchange having nationwide trading terminals
B) From all the stock exchange(s) in which the securities of the issuer are proposed to be listed
C) Only from the Securities and Exchange Board of India (SEBI)
D) From the Registrar of Companies (ROC) where the company is registered
E) From the stock exchange with the highest trading volume in the previous financial year

4. While most delivery shortages in compulsory rolling settlements are handled via auction, certain cases result in a direct close-out. For which of the following scenarios is the auction mechanism NOT conducted, and the trade is directly closed out?

A) Shortages arising from institutional trades where the custodian has rejected the trade.
B) Shortages where the quantity is less than 500 shares.
C) Shortages in A-Group liquid securities with high trading volume.
D) Shortages caused by a technical glitch in the broker's back-office software.
E) Shortages in securities that are under 'Trade for Trade' category or currently under corporate action.

5. To increase efficiency and reduce the time duration from issue closure to listing, a new timeline was introduced for public issues opening on or after December 1, 2023. What is this mandated timeline for listing?

A) T+1 days
B) T+3 days
C) T+6 days
D) T+2 days
E) T+5 days

Solutions: