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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 settlement of securities for sale transactions, specifically regarding the 'Demat Debit and Pledge Instruction' (DDPI), which of the following statements accurately defines the scope of authorization given by the client to the stock broker?

A) It grants full power of attorney to the broker to buy and sell securities without specific trade instructions from the client.
B) It explicitly authorizes the broker to access the client's beneficial owner account for the limited purpose of transferring securities to the broker's pool account to meet pay-in obligations.
C) It is a mandatory requirement for opening a demat account and cannot be revoked by the client under any circumstances.
D) It authorizes the broker to transfer securities for off-market trades between unrelated parties to settle personal debts of the client.
E) It allows the broker to pledge the client's securities with a Non-Banking Financial Company (NBFC) to raise working capital for the brokerage firm.

2. According to the SEBI circular dated April 05, 2022, regarding the use of Unified Payment Interface (UPI) in public issues of equity shares, which specific category of investors is mandated to use UPI and provide their UPI ID in the bid-cum-application form?

A) All Individual Investors applying in Public issues where the application amount is up to 5 Lakhs.
B) Non-lnstitutional Investors (NIIs) applying above Rs. 2 Lakhs.
C) Anchor Investors applying during the anchor book period.
D) Qualified Institutional Buyers (QIBs) applying up to Rs. 2 Lakhs.
E) All Retail Individual Investors applying for any amount.

3. In the Capital Market / Equity Segment, how is the **Mark to Market (MTM)** margin collected from a clearing member regarding their proprietary and client positions?

A) Netted at the security level across all clients and proprietary account combined.
B) Collected only if the MTM loss exceeds 10% of the VaR margin collected.
C) Gross of all net positions across all clients; no set-off of loss of one client with the profit of another client.
D) Netted across all clients; if the Broker has a net profit across all clients, no margin is collected.
E) Gross of all open positions; however, proprietary positions can be netted against client positions.

4. SEBI has introduced the mechanism of Net Settlement of cash segment and F&O segment upon expiry of stock derivatives. Under which of the following conditions is this benefit of netting (merged settlements) specifically available to an investor?

A) When the investor uses different Clearing Members for Cash and F&O segments but they are interoperable.
B) When the investor trades and clears through the same Trading Member (TM) - Clearing Member (CM) combination in both Cash and F&O segments.
C) When the investor trades in highly correlated indices across different exchanges.
D) When the investor is a Portfolio Manager (PMS) directed to enter into delivery backed transactions only.
E) When the investor is an Institutional Investor (including FPIs) whose transactions are backed by delivery.

5. Under the regulatory framework defined in Section 24 of the Companies Act, 2013, the administration of specific provisions for listed companies (or those proposed to be listed) is delegated to the Securities and Exchange Board of India (SEBI). Which of the following matters is EXCLUSIVELY administered by SEBI under this delegation, while remaining otherwise under the Central Government's administration?

A) Incorporation of the company
B) Conduct of Annual General Meetings
C) Non-payment of dividend
D) Registration of the company's memorandum of association
E) Appointment of key managerial personnel

Solutions: