Free PDF Quiz NISM-Series-VII - NISM Series VII - Securities Operations and Risk Management Certification–High-quality Valid Exam Experience

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Investor Protection	7%	- Mechanisms for dispute resolution - Investor education and awareness initiatives - Investor rights and grievances redressal
Regulatory Framework	15%	- Compliance requirements for intermediaries - SEBI Act, Rules and Regulations - Code of conduct and ethical practices
Risk Management and Margining	18%	- Types of risks in securities operations - Margining systems and methodologies - Risk monitoring and control measures
Market Microstructure	12%	- Market indices and their calculation - Trading mechanisms and order types - Price discovery and market efficiency
Trading Operations	15%	- Order management and trade execution - Front office functions and processes - Client onboarding and KYC norms
Clearing and Settlement	15%	- Settlement cycle and mechanisms - Clearing process and roles of clearing corporations - Delivery versus payment and settlement guarantee
Securities Market Overview	10%	- Structure and segments of Indian securities market - Market participants and their roles - Types of securities and products
Technology in Securities Markets	8%	- Systems for trading, clearing and settlement - Emerging technologies and their impact - Data security and business continuity

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q216-Q221):

NEW QUESTION # 216
SEBI introduced the 'Demat Debit and Pledge Instruction' (DDPI) to replace the Power of Attorney (POA) for certain functions. For which of the following specific purposes does the DDPI authorize the stock broker/stock broker and depository participant to access the client's beneficial owner (BO) account?

A. Meeting pay-in obligations for the settlement of trades executed by the client.
B. Updating the client's address and contact details in the KRA system.
C. Executing off-market trades between parties other than related parties.
D. Transferring funds from the client's bank account to the broker's proprietary account.
E. Opening a new demat account with another depository participant on behalf of the client.

Answer: A

Explanation:
Under DDPI, the clients shall explicitly agree to authorize the stock broker/stock broker and depository participant to access their BO account for the limited purpose of meeting pay-in obligations for settlement of trades executed by them. The DDPI shall serve the same purpose of POA and significantly mitigate the misuse of POA.

NEW QUESTION # 217
To calculate the Adjustment Factor for a **Rights Issue** in the Equity F&O segment, the 'Benefits per share (E)' must first be determined. Which formula correctly represents the calculation of 'E'?

Answer: C

Explanation:
In the context of Rights Issue adjustment, Benefits per share (E) is calculated using the formula: E = (P - S) * A1 (A + B), where P is the underlying close price on the last cum date, S is the issue price of the rights, A is the Rights Entitlement, and B is the Number of Existing shares.

NEW QUESTION # 218
Regarding the 'Block Mechanism in demat account of clients undertaking sale transactions', what happens if the sale transaction is not executed or is unmatched?

A. The client must manually submit an unblocking request to the Depository Participant on T+1 day.
B. The shares remain blocked until the payout date of the next settlement cycle.
C. The shares are transferred to the Clearing Member's pool account and then returned to the client.
D. The Clearing Corporation uploads cancellation of Block instruction on T day, and securities are unblocked and become free in the client's demat account on T day itself.
E. The shares are auctioned by the Clearing Corporation to recover the blockage fees.

Answer: D

Explanation:
In case of unmatched orders, CCs shall upload cancellation of Block instruction on T day so that securities are unblocked and become free in client's demat account on T day itself. If the sale is not executed, shares shall continue to remain in the client's demat account and will be unblocked at the end of the T day.

NEW QUESTION # 219
Which of the following items are mandated contributions by the Stock Exchange to the Investor Protection Fund (IPF) according to SEBI guidelines? (Select all that apply)

A. 100% of the interest earned on the 1% security deposit kept by issuer companies (immediately on refund).
B. Penalties collected from listed companies for non-compliance with LODR Regulations.
C. At least 20% of the listing fees received.
D. Penalty collected from Trading Members for deficiency in modification of client code.
E. 1% of the listing fees received, on a quarterly basis.

Answer: A,B,D,E

Explanation:
Option A (1 % listing fees), Option B (LODR penalties), Option D (Interest on security deposit), and Option E (Client code modification penalties) are all listed as contributions to the IPF in the source text,. Option C (20% of listing fees) is incorrect for IPF; it applies to the Investor services Fund OSF).

NEW QUESTION # 220
What is the mandatory mechanism for effecting the pay-in of securities for sell obligations in the T+0 settlement cycle?

A. Automatic sweeping of securities from the client's demat account at 1 PM.
B. Inter-depository transfer from the client's account to the Clearing Corporation's account.
C. Transfer from Client Beneficiary Account to CM Pool Account via standard market instruction.
D. Physical Delivery Instruction Slip submitted to the DP by 10:00 AM.
E. Only by way of early pay-in using block mechanism.

Answer: E

Explanation:
The source specifies: 'Pay-in for T+0 sell obligations shall be allowing only by way of early pay-in using block mechanism.'

NEW QUESTION # 221
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