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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Which of the following services can a Depository Participant (DP) engage in, as explicitly listed in the NISM workbook? (Select all that apply)

A) Issuing equity research reports for the depository
B) Freezing of the demat account for debits, credits, or both
C) Receiving electronic credit in respect of securities allotted by issuers under IPO
D) Pledging of dematerialized securities & facilitating loans against shares
E) Underwriting of Initial Public Offers (IPOs)

2. Stock brokers are required to maintain evidence of clients placing orders to prevent unauthorized trades. Which of the following statements accurately describes the regulatory requirements regarding the forms of evidence and the retention period?

A) Evidence is optional for internet-based transactions and must be retained for 1 year.
B) Telephone recordings are mandatory only for institutional clients and must be kept for 2 years.
C) In case of a dispute, records can be disposed of immediately after the broker files a response.
D) Evidence must be physical records only, retained for 5 years.
E) Evidence can be physical records, telephone recordings, emails, or SMS logs, and must be retained for a minimum of 3 years.

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

4. The interoperability framework among Clearing Corporations (CCs) allows Clearing Members to select the CC of their choice. Which of the following products or schemes is explicitly excluded from this interoperability framework?

A) Equity Cash Segment
B) Securities Lending and Borrowing Scheme (SLB)
C) Interest Rate Derivatives
D) Currency Derivatives
E) Equity Derivatives

5. What is the primary operational mandate for Clearing Corporations (CCs) and Depositories to ensure the feasibility of multiple settlements occurring on a single day due to holidays?

A) They must operate with reduced staff to minimize coordination errors.
B) They must seek prior approval from SEBI for every individual settlement run.
C) They shall follow a strict time schedule to ensure that the settlements are completed on the same day.
D) They must extend the settlement cycle to T+2 temporarily.
E) They must implement a separate risk management framework for holiday settlements.

Solutions: