NISM National Institute of Securities Markets 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:

Question 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 shall be done on the first Friday and/or Saturday of every month/quarter, based on the annual calendar issued jointly by Stock Exchanges.
D. Settlement dates are determined individually by each stock broker based on their internal risk management policy.
E. Settlement must occur within 24 hours of the payout for every transaction, regardless of the running account authorization.

Question 2

SEBI has introduced the mechanism of Net Settlement of cash segment and F&O segment upon expiry of stock derivatives. Which of the following scenarios specifically qualifies for this benefit of netting (merged settlements)?

A. An institutional investor trading through a Custodian in Cash and a Professional Clearing Member in F&O.
B. An investor trading through different Trading Members who use different Clearing Members.
C. All institutional investors including Foreign Portfolio Investors (FPIs).
D. Portfolio Managers (PMS) who are mandatorily directed to enter into delivery backed transactions.
E. An investor whose Trading Member clears trades in F&O segment and cash segment through the same Clearing Member (CM).

Question 3

What are the specific trading hours for the continuous trading session under the beta version of the T+0 rolling settlement cycle?

A. 09:15AM to 1:30 PM
B. 09:15AM to 12:30 PM
C. 10:00 AM to 2:00 PM
D. 09:15 AM to 3:30 PM
E. 09:00 AM to 3:30 PM

Question 4

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

Question 5

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

Solutions: