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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. According to the SEBI guidelines on Trade Annulment, what is the specific application fee structure that Stock Exchanges must charge for accepting an annulment request from a stock broker?

A) There is no fee for trade annulment if the request is submitted within 30 minutes.
B) 1% of the value of trade(s), subject to a minimum of ? 50,000 and maximum of ? 5 lakhs.
C) 2% of the value of trade(s), with no minimum or maximum cap, credited to the Core Settlement Guarantee Fund.
D) A fixed fee of? 1 lakh irrespective of trade value, credited to the Investor Service Fund.
E) 5% of the value of trade(s), subject to a minimum of? 1 lakh and maximum of ? 10 lakhs.

2. Under the ODR framework, what is the specific monetary threshold regarding the aggregate claim/counter-claim amount that necessitates the reference of the matter to an **Arbitral Tribunal consisting of three Arbitrators**?

A) Exceeds Rs. 50,00,000(Rupees Fifty Lakhs)
B) Exceeds Rs. 10,00,000 (Rupees Ten Lakhs)
C) Exceeds Rs. 20,00,000(Rupees Twenty Lakhs)
D) Exceeds Rs. 30,00,000 (Rupees Thirty Lakhs)
E) Exceeds Rs. 1,00,00,000 (Rupees One Crore)

3. According to the risk management framework regarding * *Liquid Assets** deposited by clearing members, which of the following statements correctly defines the limits and haircuts applicable to * *Corporate Bonds** accepted as collateral?

A) Minimum haircut of 10% (Fixed percentage or VaR based); Limit not to exceed 10% of the total liquid assets of the clearing member.
B) Treated as Cash Equivalent with 0% haircut if rated AAA.
C) Fixed percentage haircut of 50%; Limit not to exceed 25% of total liquid assets.
D) VaR based haircut; Limit not to exceed 50% of the cash component of liquid assets.
E) No limit on quantity; Haircut based strictly on credit rating (AAA: 10%, AA: 15%).

4. Apart from the primary clearing account, a Clearing Member is permitted to maintain an 'additional clearing account' with a designated clearing bank. For what specific operational purposes is this additional account utilized?

A) For the purpose of enhancement of collateral in the form of cash and providing early pay-in of funds.
B) For collecting brokerage and statutory levies from clients.
C) For separating proprietary trading funds from client funds.
D) For settlement of commodities derivatives trades only.
E) For receiving dividend payments from listed companies on behalf of clients.

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

Solutions: