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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 netting of settlement obligations for a member trading in both T+1 and T+0 cycles, which of the following statements is operationally correct?

A) There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycles.
B) Netting is permitted only for funds, while securities obligations are kept separate.
C) Obligations are netted across both cycles to reduce liquidity stress.
D) Netting is allowed only if the member opts for the 'Unified Settlement' facility provided by the Clearing Corporation.
E) Securities delivered in T+0 pay-out can be immediately netted against T+1 pay-in obligations for the same day.

2. What is the primary objective of the research reports (Fundamental, Stock, Sector, etc.) regularly brought out by stock brokers?

A) To help the investor make informed investment decisions.
B) To manipulate the market price of illiquid securities.
C) To replace the role of the Investment Adviser completely.
D) To generate additional brokerage by encouraging excessive churning of portfolios.
E) To fulfill the mandatory requirement of the Companies Act, 2013.

3. According to the regulations governing institutional investors in the Indian Cash Market, which of the following combinations of trading activities is strictly PROHIBITED?

A) Trading in the Block Deal window
B) Short selling with mandatory delivery obligation
C) Using the 'INST' code for order entry
D) Algorithmic trading using Direct Market Access
E) Day trading (squaring off transactions intra-day)

4. Stock Exchanges are mandated to maintain Investor Service Centres (ISCs) to assist investors. Which of the following is specifically listed as a mandatory facility that ISCS must provide to investors regarding the arbitration process?

A) Reimbursement of all travel and lodging expenses for attending hearings
B) Dedicated recording studios for documenting verbal grievances
C) Video-calling facility for attending online arbitration or Grievance Redressal meetings
D) A panel of three arbitrators physically present at the centre during market hours
E) Free legal representation by the Exchange's empanelled lawyers

5. Based on the Securities Contract Regulation Act (SCRA), 1956, select all the instruments that are explicitly included in the definition of 'Securities' from the list below.

A) Electronic Gold Receipts
B) Private Promissory Notes between individuals
C) Zero Coupon Zero Principal Instruments
D) Government Securities
E) Derivatives

Solutions: