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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. If the conciliation process fails and the **Market Participant** decides to pursue online arbitration, what specific financial requirement must they satisfy prior to the initiation of the online arbitration?

A) They must deposit 100% of the admissible claim value with the relevant Market Infrastructure Institution (MII).
B) They must pay a non-refundable arbitration fee of Rs. 25,000.
C) They must provide a Bank Guarantee equivalent to 50% of the claim value.
D) They must obtain an indemnity bond from the investor for the full claim amount.
E) They must deposit 75% of the claim value with the Investor Protection Fund (IPF).

2. Regarding the execution of transfer instructions, under what condition is a Depository Participant (DP) permitted to register the transfer of securities from a beneficial owner's account?

A) Only on receipt of instructions from the beneficial owner and thereafter confirming the same to the beneficial owner
B) Based on a standing instruction from the Stock Exchange for all accounts
C) Immediately upon receipt of a market rumour regarding the security
D) Upon implied consent derived from the client's trading pattern
E) Whenever the account balance falls below the minimum required balance

3. In the context of the 'Trade to trade' or 'Gross obligations' method for determining settlement obligations, how are a member's funds obligations calculated?

A) Funds pay-in is the net of cumulative buy and sell values, while funds pay-out is zero.
B) Funds pay-in and pay-out are both calculated on a netted basis across all clients.
C) Funds pay-in is equivalent to the cumulative value of buy transactions, and funds pay-out is equivalent to the cumulative sell value.
D) Funds obligations are determined solely based on the netted quantity of securities delivered.
E) Funds pay-in is the cumulative buy value minus 20% margin, and pay-out is the cumulative sell value.

4. Based on the classification of membership in the Indian securities market, which of the following categories of members holds both trading and clearing rights but is explicitly restricted from clearing trades for custodian participants?

A) Only Trading Member
B) Professional Clearing Member (PCM)
C) Trading cum Self-Clearing Member (SCM)
D) Authorized Person
E) Trading Member-cum-Clearing Member (TCM)

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

Solutions: