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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Regarding the payment of upfront margin by a clearing member to the Clearing Corporation, which of the following statements accurately describes the timing and method of collection?

A) Margins are collected at the end of the trading day via a debit to the settlement account.
B) Margins are calculated weekly and adjusted against the Base Minimum Capital.
C) Margins are collected on T+1 day before the pay-in of funds.
D) Margins are collected only in the form of cash equivalents deposited with the Clearing Bank.
E) Margins are adjusted from the liquid assets of a clearing member on a real-time basis.

2. In the context of the operations of a Depository Participant (DP), what is identified as the 'main activity' pursuant to the trading activity of an investor?

A) Freezing of the demat account for debits or credits
B) Pledging of dematerialized securities
C) Settlement and transfer of securities from one beneficiary account to another
D) Dematerialization of physical securities
E) Receiving non-cash corporate benefits like bonus shares

3. In the context of Settlement Dues, the clearing agency pays moneys payable to clearing members and custodians for every settlement. What is the specific basis for determining these payable amounts?

A) Information provided by the Exchange or Clearing Agency
B) The bank statement of the Clearing Bank
C) The net worth certificate submitted by the member
D) The contract notes issued by the broker to the client
E) The daily margin statement generated by the Clearing Member

4. Which of the following instruments allow Indian companies to raise resources from international capital markets?

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

5. A transferee (buyer) in the depository system wishes to receive securities into their demat account. What is the operational requirement regarding 'Standing Instructions' (SI) for this process?

A) The SI functionality has been replaced entirely by the Demat Debit and Pledge Instruction (DDPI).
B) If 'Standing Instructions' are not given, the transferee must give separate Receipt Instructions each time to the DP to receive securities.
C) Standing Instructions are valid only for off-market transfers and not for market trades.
D) Standing Instructions are mandatory for all accounts; without them, the account remains inactive.
E) Standing Instructions allow the DP to debit the account without a Delivery Instruction Slip (DIS).

Solutions: