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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Distinguishing the roles of market segments is vital for understanding capital formation. Which statement correctly identifies the primary interaction dynamic in the Secondary Market compared to the Primary Market?

A) The issuer has direct contact with the investor to raise new capital.
B) It is used primarily for Initial Public Offers (IPOs) and Rights Issues.
C) The settlement is always done directly between the issuer and the clearing corporation.
D) Dealings are strictly between two investors, and the issuer does not come into the picture.
E) It ensures availability of adequate capital at reasonable rates for expansion.

2. Under the framework for 'Upstreaming of clients' funds', how should a Trading Member (TM) handle the funds received from clients whose running accounts have been settled?

A) The funds should be invested in equity mutual funds to generate returns for the client.
B) The funds must be immediately transferred to the TM's proprietary account.
C) The funds can be used for the TM's operational expenses provided they are replaced within 24 hours.
D) The funds must remain in the 'Up Streaming Client Nodal Bank Account' and cannot be used for settlement of running accounts of other clients.
E) The funds can be used to settle the running accounts of other clients to ensure liquidity.

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

4. SEBI has introduced the mechanism of Net Settlement of cash segment and F&O segment upon expiry of stock derivatives. Under which of the following conditions is this benefit of netting (merged settlements) specifically available to an investor?

A) When the investor uses different Clearing Members for Cash and F&O segments but they are interoperable.
B) When the investor trades and clears through the same Trading Member (TM) - Clearing Member (CM) combination in both Cash and F&O segments.
C) When the investor is an Institutional Investor (including FPIs) whose transactions are backed by delivery.
D) When the investor trades in highly correlated indices across different exchanges.
E) When the investor is a Portfolio Manager (PMS) directed to enter into delivery backed transactions only.

5. When implementing the recommended Web Interfaces and Protocols between a Trading Web Server and Trading Client Terminals for IBT, which technical standards are suggested for adoption?

A) FTP Ver 2 or above and SMTP
B) Telnet and Gopher protocols
C) POP3 and IMAP protocols
D) HTTP Ver 4 or above and HTML Ver 4/XML
E) WAP 1.0 and WML only

Solutions: