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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 'Block Mechanism' in demat accounts for sale transactions, what is the specific operational protocol regarding the movement and unblocking of shares if the sale transaction is **not** executed on the trade day (T day)?

A) Shares are automatically transferred to the Trading Member's pool account and returned to the client on T+1 day.
B) Shares remain blocked until the client explicitly submits a cancellation instruction via the depository participant.
C) Shares are debited from the client's account and held in a suspense account by the Depository until the next trading session.
D) Shares are transferred to the Clearing Corporation's settlement pool and returned only after the auction session on T+1 .
E) Shares continue to remain in the client's demat account and will be unblocked at the end of the T day.

2. According to the Securities Contracts (Regulation) Act, 1956 (SCRA), the definition of 'Securities' has been expanded to include various instruments. Which of the following specific instruments is explicitly included in this definition as per the Act?

A) Insurance Policies linked to Unit Linked Insurance Plans (ULIPs)
B) Real Estate Sale Deeds registered under the Registration Act
C) Promissory Notes issued by private individuals for personal loans
D) Electronic Gold Receipts issued on the basis of deposit of underlying physical gold
E) Fixed Deposit Receipts issued by Scheduled Commercial Banks

3. While the Securities and Exchange Board of India (SEBI) is the primary regulator for the securities market, certain powers under the Securities Contracts (Regulation) Act (SCRA) are exercised concurrently by the Reserve Bank of India (RBI). For which of the following instrument types is this concurrent jurisdiction explicitly applicable?

A) Real Estate Investment Trusts (REITs)
B) Ready forward contracts in debt securities
C) Equity Derivatives settled physically
D) Commodity Derivatives
E) Infrastructure Investment Trusts (InvITs)

4. Economic efficiency in the securities market is often described by the 'decoupling' of activities. Which of the following best explains the economic impact of this decoupling as defined in the source?

A) It eliminates the need for financial intermediaries in the transfer of resources.
B) It ensures that savers and investors are constrained by the economy's abilities rather than their individual abilities.
C) It restricts the allocation of savings to government-backed securities only.
D) It mandates that investors must possess surplus funds equal to the issuer's total capital.
E) It allows savers to directly manage the administrative operations of the issuer.

5. If a clearing member fails to fulfill the margin obligations, the clearing agency has the authority to initiate disciplinary actions without further notice. Which of the following is explicitly listed as a potential action in such a scenario?

A) Withdrawal of trading facilities and/or clearing facility and close out of outstanding positions.
B) Mandatory conversion of the clearing member to a trading-only member.
C) Permanent cancellation of the certificate of registration.
D) Transfer of client positions to the Investor Protection Fund.
E) Seizure of the member's personal assets outside the clearing system.

Solutions: