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

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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 maintenance of a Running Account for funds by a stock broker for a client, which of the following statements accurately reflects the regulatory requirement for the actual settlement of funds?

A) Settlement must be done on the last trading day of every month or quarter as per the client's preference.
B) Settlement is mandatory only when the credit balance exceeds Rs. 10,000; otherwise, funds can be retained indefinitely.
C) Settlement must occur within 24 hours of the payout for every transaction, regardless of the running account authorization.
D) Settlement dates are determined individually by each stock broker based on their internal risk management policy.
E) Settlement shall be done on the first Friday and/or Saturday of every month/quarter, based on the annual calendar issued jointly by Stock Exchanges.

2. Which of the following data fields must match between the transfer instruction and the Clearing Corporation's obligation data for a Pay-In instruction to be considered a 'Matched Instruction' and subsequently executed? (Select all that apply)

A) UCC (Unique Client Code)
B) Client's Bank Account Number
C) CM ID (Clearing Member ID)
D) ISIN (International Securities Identification Number)
E) TM ID (Trading Member ID)

3. Under the SEBI (Prohibition of Insider Trading) Regulations, 2015, which of the following parties is deemed to be a 'Connected Person' unless the contrary is established?

A) A banker of the company.
B) A vendor supplying office stationery on a one-off basis.
C) A shareholder holding 5% interest in the company.
D) An individual who has never held a position in the company.
E) A former employee who left the company 12 months prior to the act.

4. A Trading Member executes sell orders in the T+0 settlement cycle. What is the mandatory mechanism required to fulfill the pay-in of securities for these sell obligations?

A) Only by way of early pay-in (EPI) using the block mechanism.
B) Transfer to the Member Pool Account by 10:30 AM on T day.
C) Auto-pledge of securities in favor of the Clearing Corporation.
D) Inter-depository transfer to the settlement account of the Clearing Corporation post-trading hours.
E) Standard pay-in instruction via physical DIS submitted to the Depository Participant.

5. Under the SEBI (Prohibition of Fraudulent and Unfair Trade Practices relating to the Securities Market) Regulations, 2003, specific activities are defined as manipulative or unfair. Which of the following scenarios describes 'Front Running', a prohibited practice under these regulations?

A) An insider trading in shares based on unpublished price sensitive information regarding a merger.
B) Splitting a large order into smaller trades to minimize impact cost.
C) An intermediary buying securities in advance of a substantial client order effectively anticipating price movement due to that order.
D) Publishing a research report with false information to induce the sale of securities.
E) Buying and selling securities between intermediaries to artificially inflate trading volumes without changing beneficial ownership.

Solutions: