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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Under the cross-margining facility, if a client holds a long position in Index Futures and a corresponding short position in the constituent stock futures (in the ratio specified to replicate the index) with the **same expiry month**, what is the applicable * *spread margin* * levied on the eligible offsetting positions?

A) 25% of the total applicable margin on the eligible offsetting positions.
B) 0% (Total margin exemption).
C) 100% of the higher margin of the two positions.
D) 40% of the total applicable margin.
E) 30% of the applicable upfront margin.

2. Regarding 'Market Makers' in the Indian securities market, which of the following statements regarding their mandatory obligations is correct?

A) Market making is voluntary for all scrips listed on Small and Medium Enterprise (SME) Exchanges
B) Market makers are appointed solely by SEBI and not by the Exchanges
C) Market making is restricted to the derivatives segment only
D) Market makers are required to provide only buy quotes to ensure exit options for investors
E) Market making has been made mandatory in respect of all scrips listed and traded on SME Exchanges

3. Which of the following statements accurately reflect the operational requirements and functions of Clearing Members and Custodians in the Clearing Process? (Select all that apply)

A) Clearing Members act as the legal counterparty to all trades through the process of novation, replacing the Clearing Corporation.
B) Clearing Members must maintain a separate and distinct clearing bank account with a designated clearing bank.
C) Clearing Members can withdraw funds from their designated clearing bank account in favor of third-party vendors for operational expenses.
D) Custodians are required to confirm whether they will settle a trade assigned to them; if they fail to confirm, the onus of settlement falls on the executing trading member.
E) It is mandatory for clearing members to open demat accounts with both depositories (CDSL and NSDL) known as clearing member settlement pool accounts.

4. Select the correct statements regarding the 'Settlement of Funds' and 'Mode of Payment' compliance requirements for stock brokers.
(Select all that apply)

A) All payments from/to clients must be strictly by account payee crossed cheques/demand drafts or direct credit into the bank account.
B) For clients with outstanding obligations on the settlement date, the broker may retain the requisite funds towards such obligations.
C) Authorization for maintaining a running account can be signed by the client's Power of Attorney (POA) holder.
D) Brokers must maintain an audit trail of funds received through electronic fund transfers to ensure they are from the client's own account.
E) Brokers are permitted to accept cash from clients for margin purposes up to Rs. 20,000.

5. Under which of the following circumstances does the Clearing Corporation directly 'Close Out' the shortage WITHOUT conducting an auction session? (Select all that apply)

A) Shortage in securities under the Trade for Trade Surveillance (TFTS) category.
B) Shortage arising from trades executed in the normal rolling settlement cycle (T+1) for Group I liquid securities.
C) Shortage arising from trades executed in the Block Deal window.
D) Shortage in delivery of securities under corporate action (e.g., undergoing stock split/bonus).
E) Shortage arising from trades in the T+0 rolling settlement cycle.

Solutions: