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

2. Stock Exchanges are required to jointly issue an annual calendar for the settlement of running accounts. According to the regulations, on which specific days of the month/quarter is the settlement of running accounts scheduled to take place?

A) 15th and/or 30th of every month/quarter.
B) Any day chosen by the broker provided the gap does not exceed 30/90 days.
C) First Monday and/or Tuesday of every month/quarter.
D) First Friday and/or Saturday of every month/quarter.
E) Last Friday and/or Saturday of every month/quarter.

3. When determining the settlement obligations in a scenario involving holidays, why is the sequential basis of settlement (completing first settlement before starting the next) critically important?

A) It allows the Clearing Corporation to recalculate margins for the previous week.
B) It ensures that the pay-out (cash/securities) from the first settlement is available to the member to meet obligations for the subsequent settlement.
C) It is required to separate institutional trades from retail trades.
D) It prevents members from trading in the derivatives segment during the cash market settlement.
E) It allows the stock exchange to close the market early.

4. Regarding the settlement timelines for Mutual Fund transactions executed on the Stock Exchange platform, which of the following statements accurately describes the funds pay-in requirement for subscription and the funds pay-out timeline for redemption?

A) Funds pay-in for subscription: T+2; Funds pay-out for redemption: T+3.
B) Funds pay-in for subscription: T+1 ; Funds pay-out for redemption: T+1 for all schemes.
C) Funds pay-in for subscription: T+0; Funds pay-out for redemption: T+0 for Liquid funds and T+2 for Equity funds.
D) Funds pay-in for subscription: T+0; Funds pay-out for redemption: T+1 to T+7 depending on the scheme.
E) Funds pay-in for subscription: T+1 ; Funds pay-out for redemption: T+2.

5. Stock brokers bring out regular research reports for their clients. Which of the following is NOT explicitly listed in the NISM workbook as a type of research report typically provided by brokers?

A) Stock Research
B) Special Reports to cater to needs of some investors
C) High-Frequency Arbitrage Reports
D) Daily/weekly/fortnightly/monthly newsletters
E) Fundamental Research

Solutions: