NISM NISM-Series-VII

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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 accurately describe the operational aspects of the Beta version of T+0 rolling settlement cycle introduced by SEBI? (Select all that apply)

A) Pay-in for T+0 sell obligations is allowed only by way of early pay-in using the block mechanism.
B) Trading timings for the T+0 session are from 09:15 AM to 3:30 PM.
C) An auction session will be conducted on T+0 day itself for any securities shortage.
D) There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycles.
E) Security shortages shall be directly closed out at 10% above the highest price of the day across all exchanges for T+0 market.

2. Under the 'Beta version of T+0 rolling settlement cycle on optional basis', which of the following operational parameters regarding trading hours, price bands, and shortage handling is correctly defined?

A) Pay-in for T+0 sell obligations is allowed only by way of early pay-in using the block mechanism.
B) Netting of pay-in and pay-out obligations is permitted between T+1 and T+0 settlement cycles.
C) The price band is fixed at +1-5% of the closing price in the regular T+1 market.
D) Security shortages are handled through an auction session conducted on the same day.
E) The trading session operates continuously from 09:15 AM to 3:30 PM.

3. In the context of the securities market structure, identifying the correct classification of an issue is critical for regulatory compliance. If an issuer raises resources by issuing shares to a select group of persons rather than the general public, how is this issuance technically classified?

A) Rights Issue
B) Bonus Issue
C) Follow on Public Offer (FPO)
D) Initial Public Offer (IPO)
E) Private Placement

4. According to the framework for the Core Settlement Guarantee Fund (Core SGF), how is the Minimum Required Corpus (MRC) for a segment determined for the upcoming month?

A) It is the higher of the average of all daily worst-case loss numbers determined from stress tests of the preceding month and the segment MRC as per the previous review.
B) It is fixed annually by SEBI based on the projected volume and turnover of the Clearing Corporation.
C) It is the simple average of the daily stress test losses of the preceding month, capped at 15% of the total open interest.
D) It is determined by the Risk Management Committee based on the highest single day loss observed in the last one year.
E) It is calculated as 25% of the liquid net worth of the Clearing Corporation plus the total Base Minimum Capital collected from members.

5. In the context of the modernization of services provided by brokers, how are research advice and recommendations increasingly being delivered to clients?

A) Via recorded voice messages on landline telephones only.
B) Exclusively through physical contract notes sent via post.
C) Strictly through in-person meetings at the broker's branch office.
D) Through SMS on to the mobile phone.
E) Only through the official website of the Stock Exchange.

Solutions: