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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 context of the Block Mechanism for sale transactions, which of the following statements accurately describes the permissible flow of securities for **matched orders** up to the pay-in day?

A) Securities are debited from the Client's demat account and credited to the linked TM Pool account; the TM shall further transfer such securities only to the CM Pool account.
B) Securities remain in the Client's demat account until the pay-out day, after which they are directly transferred to the buyer's account.
C) Securities are transferred to a temporary 'Client IJnpaid Securities Account' before being moved to the Clearing Member's pool account.
D) Securities are debited from the Client's demat account and credited directly to the Clearing Corporation's settlement account, bypassing the Trading Member.
E) Securities are transferred from the Client's account to the Trading Member's (TM) Pool account, and the TM can further transfer them to any other TM's pool account.

2. Select the correct statements regarding the regulations and procedures governing the auction of securities and handling of proceeds by the Clearing Corporation. (Select all that apply)

A) In no case shall the auction be held beyond a period of one week from the pay-in day of the settlement in which the contract was entered into.
B) The members participating in the auction session as sellers are required to deliver the shares to the Clearing Corporation on or before the auction pay-in day, which is the subsequent day.
C) Any amount remaining from the proceeds of an Auction or Close-out, after settling the aggrieved party's claim, is credited to the Core Settlement Guarantee Fund (Core SGF).
D) If the auction seller fails to deliver on the auction pay-in day, the deal is closed out at the standard valuation price of the T+1 day.
E) The auction for undelivered quantities can be held multiple times for the same settlement until the full quantity is procured.

3. In the process of disbursing compensation from the Investor Protection Fund (IPF) in case of a defaulter Trading Member (TM), which body is responsible for the 'sanction and ratification' of claims before they are sent to the IPF Trust?

A) The Governing Board of the Exchange
B) The Disciplinary Action Committee (DAC)
C) The Investor Grievance Redressal Committee (IGRC)
D) The Member Committee (MC)
E) The Defaulters' Committee

4. Regarding the execution of a 'Delivery Instruction Slip' (DIS) for debiting a beneficiary account in a depository, which of the following conditions is **MANDATORY** for the instruction to be processed?

A) The DIS must clearly indicate whether the trade is an 'off-market' trade or a 'market' trade.
B) The execution date on the DIS cannot be a future date; it must be the same as the submission date.
C) The DIS must be physically submitted even if the client has enabled electronic DIS facilities.
D) The DIS must be counter-signed by a SEBI registered official.
E) The DIS must be signed only by the primary holder in case of joint accounts.

5. When a corporate action adjustment (such as a bonus ratio of 3:7) results in fractions, a specific methodology is adopted to minimize fraction settlements. How are the Strike Price and Market Lot rounded off in this process?

A) Strike Price: Exact value up to 2 decimal places; Market Lot: Exact value
B) Strike Price: Rounded down to nearest tick; Market Lot: Rounded up to nearest integer
C) Strike Price: Nearest tick size; Market Lot: Nearest integer
D) Strike Price: Nearest integer; Market Lot: Nearest tick size
E) Strike Price: Rounded up to nearest integer; Market Lot: Rounded down to nearest 100

Solutions: