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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. To ensure compliance while providing research-based advisory services, brokerage houses must adhere to specific regulations and circulars. According to the NISM workbook, which of the following represents the governing framework for Research Reports?

A) SEBI (Portfolio Managers) Regulations, 2020 and Master Circular dated March 20, 2023
B) Securities Contracts (Regulation) Rules, 1957 and SEBI (Prohibition of Insider Trading) Regulations, 2015
C) SEBI (Stock Brokers) Regulations, 1992 and Master Circular dated May 21 , 2024
D) SEBI (Investment Advisers) Regulations, 2013 and Master Circular dated December 16, 2020
E) SEBI (Research Analysts) Regulation, 2014 and Master Circular for Research Analyst dated May 21 , 2024

2. Under what specific circumstance is a broker or client strictly **prohibited** from unblocking securities that have been blocked in favour of the Clearing Corporation?

A) If the market price of the security increases by more than 5% during the trading day.
B) If the client has an outstanding margin obligation in the derivatives segment.
C) If the Early Pay-In (EPI) benefit has already been provided by the Clearing Corporation to the client for those securities.
D) If the Trading Member has not yet transferred the securities to the Clearing Member's pool account.
E) If the block was created using a physical Delivery Instruction Slip (DIS) instead of eDlS.

3. When a Partnership Firm registered under the Indian Partnership Act, 1932 applies for admission as a member of a Stock Exchange, which specific structural requirement must be identified and maintained as per Exchange norms?

A) A minimum of 51% of capital must be held by a designated clearing bank.
B) The firm must maintain a static profit-sharing ratio for 5 years.
C) The applicant must identify a Dominant Promoter Group.
D) The firm must convert to a Limited Liability Partnership within 1 year.
E) All partners must hold NISM Series-VII certification.

4. A 'Self Auction' mechanism is utilized to address 'Internal Shortages'. Which of the following scenarios best describes an internal shortage that necessitates this specific procedure?

A) A selling client fails to deliver shares to the member, but the member has no net obligation to the Clearing Corporation due to an offsetting purchase by another client of the same member.
B) A member fails to deliver securities to the Clearing Corporation because of a shortfall in the Clearing Member Pool Account.
C) The depository fails to transfer shares from the client beneficiary account to the pool account due to a system glitch.
D) A member shorts a stock in the derivatives segment but holds the physical stock in the cash segment.
E) A member utilizes client securities for proprietary trading resulting in a shortage during a surprise audit.

5. Besides the settlement of fund obligations, the distinct clearing bank account opened by a Clearing Member is mandated to be used for which of the following sets of transactions?

A) Investment in mutual funds, IPO applications, and portfolio management services.
B) Payment of margins, release and enhancement of collateral, and payment of penal charges.
C) Collection of dividends, payment of stamp duty to state governments, and GST payments.
D) Payment of staff salaries, office maintenance, and proprietary trading losses.
E) Disbursement of loans to clients and interest payments on overdraft facilities.

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