NISM NISM-Series-VII real exam prep : 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. In the T+1 rolling settlement process for the Cash Market, how is the 'Pay-in of Funds' executed between the Clearing Member and the Clearing Corporation?

A) The Clearing Member transfers funds via RTGS to the Exchange's Investor Protection Fund.
B) The Clearing Bank automatically debits the member's account based on the trade data received directly from the Stock Exchange.
C) The Clearing Corporation advises the Clearing Bank to debit the Clearing Member's account and credit the Clearing Corporation's account.
D) The Clearing Member issues a physical cheque to the Clearing Corporation by 11 AM.
E) The Clearing Corporation pulls funds directly from the client's bank account via the UPI block mechanism.

2. Under the 'Direct Pay-out' of securities framework mandated by SEBI, to which category of clients is this facility not applicable?

A) Retail Individual Investors
B) Clients having arrangements with custodians registered with SEBI for clearing and settlement
C) High Net-worth Individuals (HNls)
D) Qualified Stock Brokers' proprietary trading accounts
E) Non-Resident Indians (NRIs) dealing through a Portfolio Investment Scheme (PIS)

3. In the context of the SEBI Complaints Redress System (SCORES), certain types of complaints are explicitly excluded from its purview Which of the following scenarios represents a complaint that is NOT dealt with through SCORES?

A) Complaint against a company where a moratorium order is passed in insolvency proceedings
B) Complaint regarding unauthorized trading by a registered stock broker
C) Complaint regarding non-receipt of refund in an Initial Public Offer (IPO)
D) Complaint regarding discrepancy in the demat account holding statement
E) Complaint regarding non-receipt of dividend from a listed company

4. When handling 'Trade Allocation' for institutional clients in the back office, how is a single order placed with the Custodial Participant code 'INST' processed?

A) The trade is automatically allocated pro-rata to all active clients of the broker to ensure fair distribution.
B) The back office receives deal sheets from the front office and distributes the single trade across various sub-schemes of the client, generating appropriate contract notes.
C) The 'INST' code is replaced with the broker's proprietary account code, and the trade is settled as a proprietary trade.
D) The back office aggregates multiple 'INST' orders into a single block trade for reporting to the Exchange.
E) The trade is kept in a suspense account until the Custodian confirms the trade on T+2 day.

5. SEBI designates certain stock brokers as 'Qualified Stock Brokers' (QSBs) based on specific parameters to ensure appropriate governance and risk management. Which of the following parameters are explicitly considered for designating a stock broker as a QSB?
(Select all that apply)

A) The net worth of the stock broker's promoter group.
B) The number of sub-broker offices managed by the stock broker.
C) The available total assets of clients with the stock broker.
D) The proprietary trading volumes of the stock broker.
E) The total number of active clients of the stock broker.

Solutions: