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NISM NISM-Series-VII Exam Syllabus Topics:

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

Question 1

For Futures Contracts on Individual Securities, which price is used as the 'Final Settlement Price' on the last trading day?

A. The closing price of the relevant underlying security in the Capital Market Segment across exchanges.
B. The theoretical price calculated using the cost of carry model.
C. The weighted average price of the underlying security during the last 30 minutes of trading.
D. The last traded price (LTP) of the underlying security on the primary exchange.
E. The closing price of the futures contract on the expiry day.

Question 2

If a client submits a transfer instruction where the quantity is *less* than the net delivery obligation provided by the Clearing Corporation, what is the outcome of the validation process by the Depositories?

A. The instruction is held in abeyance until a supplementary instruction for the balance quantity is received.
B. The instruction is processed, but a penalty is automatically levied on the client for short delivery.
C. The instruction is rejected because it does not fully meet the obligation.
D. The instruction is routed to the Clearing Member for manual approval before processing.
E. The instruction is carried out by the depositories.

Question 3

To safeguard client funds during the running account settlement process, SEBI has stipulated specific banking procedures. Which of the following statements correctly describes the requirement regarding the 'Up Streaming Client Nodal Bank Account' (USCNBA) during settlement?

A. The USCNBA is used only for receiving funds from the Exchange, while client receipts are deposited in the Settlement Account.
B. Trading Members must ensure that funds received from clients whose running account has been settled remain in the USCNBA and are not used to settle other clients.
C. Funds in the USCNBA can be used for inter-client adjustments if the clients have provided specific consent in the KYC form.
D. Funds can be moved to the broker's proprietary account temporarily to facilitate faster settlement payouts.
E. USCNBA funds must be transferred to the Clearing Corporation's settlement account before being paid out to clients.

Question 4

An 'Accreditation Agency' issues an accreditation certificate to an investor. Under what specific condition regarding the investor's financial history is this certificate valid for a period of three years from the date of issuance?

A. If the applicant meets the eligibility criteria for the preceding one financial year
B. If the applicant meets the eligibility criteria in each of the preceding two financial years
C. If the applicant submits a bank guarantee equivalent to the net worth requirement
D. If the applicant is a Body Corporate with a Net Worth INR 50 Crore
E. If the applicant is a newly incorporated entity meeting the net-worth criteria as on the date of application

Question 5

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

Solutions: