NISM NISM-Series-VII Exam : NISM Series VII - Securities Operations and Risk Management Certification

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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 'Direct Pay-out' of securities mandated by SEBI vide circular dated June 05, 2024, which of the following operational changes has been implemented concerning the credit of securities and the settlement timing?

A) The pay-out timing remains 1 PM, but the securities are credited to the client's account on T+2 day instead of T+1.
B) Direct pay-out is applicable only for Institutional Clients, while Retail Clients continue to receive shares via the Broker's Pool Account.
C) Securities are credited to the Broker's Pool Account by 1 PM, and the broker must transfer them to the client by 3:30 PM on the same day.
D) Securities are credited directly to the client's demat account by the Clearing Corporation, and the pay-out timing is revised from 1 PM to 3:30 PM.
E) Securities are credited to a temporary 'Client Unpaid Securities Account' maintained by the Clearing Corporation until funds are cleared.

2. Which of the following is typically listed as a distinct facility offered by a stock broker's outlet to facilitate advanced trading strategies and execution for clients?

A) Algorithmic trading
B) Issuance of Sovereign Gold Bonds as an Issuer
C) Adjudication of securities disputes as a Court
D) Currency printing and minting
E) Formulation of Monetary Policy

3. When a stock broker undertakes 'Video In-Person Verification' (VIPV) for client on-boarding through a digital medium, which of the following operational conditions must be strictly ensured?

A) The intermediary shall ensure that the photograph downloaded through the Aadhaar authentication process matches with the investor in the VIPV.
B) The client is not required to display the officially valid document in the video if Aadhaar e-KYC is used.
C) The VIPV must be conducted offline and the recording uploaded to the KRA system later.
D) The VIPV process can be fully automated using Artificial Intelligence without the need for any authorized official's interaction.
E) The VIPV recording is optional if the client provides a digitally signed self-declaration.

4. Which of the following statements accurately describe the settlement mechanisms and schedules in the Indian Securities Market?
(Select all that apply)

A) The final settlement of Currency Derivatives occurs on a T+1 basis.
B) Equity Cash market trades executed on T day are settled on T+1 day.
C) In Cash Settlement of derivatives, counterparties exchange the underlying physical asset upon expiry.
D) Funds pay-in for the T+1 settlement cycle in the Cash Market must occur by 11 AM on T+1 day.
E) Exchange-traded equity derivatives contracts on Indices are cash-settled.

5. Regarding the issuance of Contract Notes by stock brokers, which of the following statements are legally and operationally correct as per regulations? (Select all that apply)

A) If an ECN bounces, the broker is not required to take further action if the client has opted for electronic delivery.
B) Contract notes should have a unique running serial number starting from the beginning of the financial year.
C) Electronic Contract Notes (ECNs) sent via email must be digitally signed, encrypted, and non-tamperable.
D) A contract note is valid even if it does not explicitly state the brokerage and statutory levies separately.
E) Contract notes must be issued within 24 hours of the execution of the trade.

Solutions: