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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Under the 'Block Mechanism' in demat accounts for sale transactions, what is the specific operational protocol regarding the movement and unblocking of shares if the sale transaction is **not** executed on the trade day (T day)?

A) Shares are debited from the client's account and held in a suspense account by the Depository until the next trading session.
B) Shares continue to remain in the client's demat account and will be unblocked at the end of the T day.
C) Shares are automatically transferred to the Trading Member's pool account and returned to the client on T+1 day.
D) Shares are transferred to the Clearing Corporation's settlement pool and returned only after the auction session on T+1 .
E) Shares remain blocked until the client explicitly submits a cancellation instruction via the depository participant.

2. A Trading Member (TM) has the following positions in a specific stock futures contract at the end of a trading day:
Proprietary Account: Buy 2000, Sell 1500
Client A: Buy 1000, Sell 1200
Client B: Buy 500, Sell 100
Based on the methodology for determining the open positions of clearing members in the derivatives segment, what is the TM's 'Open Position' for this contract?

A) 6300 contracts (Gross Buy + Gross Sell of all accounts)
B) 900 contracts (Gross Proprietary + Net Client Position)
C) 700 contracts (Net Proprietary + Net Client Position)
D) 1100 contracts (Net Proprietary + Absolute Net Client Long + Absolute Net Client Short)
E) 500 contracts (Net Proprietary Position only)

3. In the context of the operations of a Depository Participant (DP), what is identified as the 'main activity' pursuant to the trading activity of an investor?

A) Settlement and transfer of securities from one beneficiary account to another
B) Receiving non-cash corporate benefits like bonus shares
C) Dematerialization of physical securities
D) Freezing of the demat account for debits or credits
E) Pledging of dematerialized securities

4. Under the framework of 'Interoperability among Clearing Corporations', how are the inter-Clearing Corporation exposures managed in the peer-to-peer link to ensure that a default by one Clearing Corporation does not cause financial loss to the other?

A) By creating a reserve contract for scrips exclusively listed on one exchange to be invoked at the time of outage.
B) By requiring the Stock Exchanges to act as the primary guarantor for any inter-CC default up to 50% of the Minimum Required Corpus.
C) By netting the pay-in and pay-out obligations of the Clearing Corporations against the Investor Protection Fund.
D) By maintaining sufficient collateral comprising (a) Margins as per existing Risk Management Framework and (b) Additional capital based on credit risk.
E) By maintaining a Core Settlement Guarantee Fund (Core SGF) that is shared equally between all interoperable Clearing Corporations.

5. Indian Depository Receipts (IDRs) allow foreign companies to raise funds from the Indian securities markets. Which of the following statements accurately reflects the rules regarding the redemption or conversion of IDRs into underlying equity shares?

A) Redemption/Conversion is permitted after 1 year from the date of listing of the IDRs.
B) Redemption is permitted immediately upon listing of the IDRs.
C) Redemption is permitted only after 3 years from the date of listing.
D) IDRs can only be converted into underlying shares if the issuer is a US-based company.
E) Two-way fungibility is strictly prohibited for IDRs.

Solutions: