Authentic NISM NISM-Series-VII Exam Questions

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Regulatory oversight 2. Investor protection
Indian Securities Market	- Overview of the Indian securities market 1. Various market participants and their roles 2. Different products traded
Investor Grievance Redressal	- Process of investor grievances redressal 1. Regulatory requirements 2. Procedures for handling complaints
Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Clearing and settlement process 2. Role of the back office in a securities broking firm
Risk Management	- Risk management in a securities broking firm 1. Identifying and mitigating risks 2. Compliance and control measures
Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Risk management 2. Settlement processing 3. Trade execution

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q209-Q214):

NEW QUESTION # 209
In the context of the Block Mechanism for sale transactions, which of the following statements accurately describes the permissible flow of securities for **matched orders** up to the pay-in day?

A. Securities are transferred from the Client's account to the Trading Member's (TM) Pool account, and the TM can further transfer them to any other TM's pool account.
B. Securities are debited from the Client's demat account and credited directly to the Clearing Corporation's settlement account, bypassing the Trading Member.
C. Securities remain in the Client's demat account until the pay-out day, after which they are directly transferred to the buyer's account.
D. Securities are transferred to a temporary 'Client IJnpaid Securities Account' before being moved to the Clearing Member's pool account.
E. Securities are debited from the Client's demat account and credited to the linked TM Pool account; the TM shall further transfer such securities only to the CM Pool account.

Answer: E

Explanation:
For matched orders, blocked securities are debited from the Client's demat account and credited to the linked TM Pool account up to the pay-in day. The TM shall further transfer such securities to the CM Pool account. Crucially, pool-to-pool transfers except from TM pool to CM pool are not permitted.

NEW QUESTION # 210
In the context of a stock broker's Middle Office operations, which of the following scenarios best illustrates the manifestation of Credit Risk as defined in the risk management framework?

A. Risk arising from loans extended to group companies or debit balances of clients.
B. The possibility that a counterparty contract cannot be enforced due to lack of proper authority.
C. Disruption in settlement systems causing a crisis of confidence among investors.
D. Loss resulting from the breakdown of internal controls leading to unauthorized trading.
E. Loss arising from the concentration of client collateral in a specific sector that experiences a sharp price decline.

Answer: A

Explanation:
According to the source, Credit risk is the risk of default on a debt. For a broker, credit risk can arise on account of 'Loans to Group Companies/ Related Parties, debit balance of clients, funding of clients, short collection of margins, Non-confirmation of DVP trade by custodian etc.' Option A describes Operational Risk. Option B describes Market Risk. Option D describes Legal Risk. Option E describes Systemic Risk.

NEW QUESTION # 211
In the process of disbursing compensation from the Investor Protection Fund (IPF) in case of a defaulter Trading Member (TM), which body is responsible for the 'sanction and ratification' of claims before they are sent to the IPF Trust?

A. The Disciplinary Action Committee (DAC)
B. The Defaulters' Committee
C. The Member Committee (MC)
D. The Investor Grievance Redressal Committee (IGRC)
E. The Governing Board of the Exchange

Answer: C

Explanation:
The guidelines specify: 'The Stock Exchanges shall ensure that once a TM has been declared defaulter, the claim(s) shall be placed before the Member Committee (MC) for sanction and ratification. MC's legitimate claims shall be sent to the IPF Trust for immediate disbursement of the amount.'

NEW QUESTION # 212
According to the framework for the Core Settlement Guarantee Fund (Core SGF), how is the Minimum Required Corpus (MRC) for a segment determined for the upcoming month?

A. It is the higher of the average of all daily worst-case loss numbers determined from stress tests of the preceding month and the segment MRC as per the previous review.
B. It is calculated as 25% of the liquid net worth of the Clearing Corporation plus the total Base Minimum Capital collected from members.
C. It is determined by the Risk Management Committee based on the highest single day loss observed in the last one year.
D. It is the simple average of the daily stress test losses of the preceding month, capped at 15% of the total open interest.
E. It is fixed annually by SEBI based on the projected volume and turnover of the Clearing Corporation.

Answer: A

Explanation:
The source specifies that the MRC shall be fixed for a month. By the 15th of every month, the CC reviews/determines the MRC for the next month based on daily stress tests of the preceding month. Specifically, the MRC for the next month shall be the 'higher of the average arrived at as (v) above [Average of all the daily worst case loss numbers] and the segment MRC as per previous review.'

NEW QUESTION # 213
When a delivery shortage is identified before the auction is conducted, the Clearing Corporation debits the clearing member by an amount equivalent to the securities not delivered, valued at a specific price. What is this pre-auction debit transaction formally called?

A. Valuation Debit
B. Close-out Penalty
C. Shortage Collateral Block
D. Auction Entry Fee
E. Provisional Margin Call

Answer: A

Explanation:
Once shortages are identified, the members are debited by an amount equivalent to the securities not delivered and valued at a valuation price. This is known as 'valuation debit'.

NEW QUESTION # 214
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