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NISM NISM-Series-VII Exam Syllabus Topics:

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

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

2. Consider the following trading data for Broker 'Y' in Security ABC on a specific trading day:
1. Sold 200 shares @ Rs. 10 to Broker X
2. Bought 50 shares @ Rs. 10.50 from Broker Z
3. Bought 300 shares @ Rs. 11 from Broker X
Calculate the Net Fund Obligation for Broker 'Y' to be settled with the Clearing Corporation.

A) Receive Rs. 2,000
B) Pay Rs. 3,825
C) Pay Rs. 1,200
D) Receive Rs. 1,575
E) Pay Rs. 1,825

3. For a client availing the Margin Trading Facility (MTF) to purchase Group 1 equity shares that are NOT available for trading in the F&O segment, what is the applicable initial margin requirement that the stock broker must collect?

A) VaR Margin + 5 times applicable Extreme Loss Margin
B) VaR Margin + 3 times applicable Extreme Loss Margin
C) 40% of the trade value irrespective ofVaR and ELM
D) Span Margin + Exposure Margin
E) VaR Margin + Extreme Loss Margin (ELM)

4. Which international capital market instrument issued by Indian companies is subscribed to by a non-resident in foreign currency and carries a fixed interest rate with a conversion feature?

A) Foreign Currency Convertible Bonds (FCCBs)
B) Masala Bonds
C) Indian Depository Receipts (IDRs)
D) Global Depository Receipts (GDRs)
E) External Commercial Borrowings (ECBs)

5. Clearing Members are required to maintain specific demat accounts known as 'Clearing Member Settlement Pool Accounts' with depositories. Which of the following statements accurately describes the legal and operational nature of the securities held in these pool accounts?

A) The Clearing Member obtains full ownership rights over the securities in the pool account to facilitate settlement.
B) The Clearing Member does not get any ownership or beneficiary rights over the shares held in these accounts; they are strictly for settlement delivery and receipt.
C) Clients cannot transfer shares directly into the Clearing Member's pool account; they must transfer to a beneficiary account first.
D) Securities in the pool account are automatically pledged to the Clearing Corporation as margin and cannot be delivered until unpledged.
E) Corporate action benefits for securities held in the pool account are retained by the Clearing Member as operational fees.

Solutions: