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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. When a Partnership Firm registered under the Indian Partnership Act, 1932 applies for admission as a member of a Stock Exchange, which specific structural requirement must be identified and maintained as per Exchange norms?

A) All partners must hold NISM Series-VII certification.
B) The applicant must identify a Dominant Promoter Group.
C) A minimum of 51% of capital must be held by a designated clearing bank.
D) The firm must maintain a static profit-sharing ratio for 5 years.
E) The firm must convert to a Limited Liability Partnership within 1 year.

2. Select the correct statements regarding the operational features and requirements of the **Block Mechanism ** for Early Pay-in (EPI) transactions. (Select all that apply)

A) Pool to Pool transfers of securities are permitted between any two Trading Members under this mechanism.
B) Securities can be blocked by the client using the depository's online system, eDIS mandate, or physical DIS.
C) The facility of block mechanism is mandatory for all Early Pay-In transactions.
D) In case of unmatched orders, the Clearing Corporation uploads the cancellation of Block instruction on T+1 day.
E) Depositories provide transfer instruction details (UCC, TM ID, etc.) to CCs to enable clients to avail EPI benefits.

3. SEBI has mandated the Direct Pay-out of securities to client demat accounts. What is the specific operational consequence of this mandate regarding the revision of the securities pay-out timing in the T+1 settlement cycle?

A) The pay-out timing is advanced from 1:30 PM to 11 AM.
B) The pay-out timing remains unchanged at 1 :30 PM.
C) The pay-out timing is revised from 1:30 PM to 3:30 PM.
D) The pay-out timing is synchronized with the funds pay-out at 10:30 AM.
E) The pay-out timing is deferred to T+2 day at 9:00 AM.

4. Under the framework for 'Settlement of Account of Clients', specific provisions exist for clients who have not traded for a certain period. If a client has a credit balance but has not executed any transaction in the last 30 calendar days, how must the Trading Member (TM) handle the settlement of funds?

A) The TM must settle the account within 24 hours of the 30th day of inactivity.
B) The TM must return the entire credit balance to the client on the upcoming settlement date of the monthly running account settlement cycle, irrespective of the client's preference for a quarterly cycle.
C) The TM is permitted to transfer the funds to the Investor Protection Fund (IPF) if the client remains inactive for more than 30 days.
D) The TM must retain the funds until the next quarterly settlement date chosen by the client.
E) The TM can continue to maintain the running account if the credit balance is below ? 10,000.

5. Direct Market Access (DMA) allows specific clients to access the exchange trading system through the broker's infrastructure. Which of the following is a specific characteristic or requirement of the DMA facility as per SEBI guidelines?

A) Brokers provide DMA to clients using the broker's proprietary trading codes instead of client codes.
B) It allows execution of client orders without manual intervention by the broker, offering advantages like faster execution and reduced risk of errors.
C) It requires manual intervention by the broker for every order to ensure risk compliance.
D) It is available to all retail investors without specific authorization.
E) Investment managers acting on behalf of institutional clients are prohibited from using DMA.

Solutions: