NISM NISM-Series-VII questions and answers

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Clearing and Settlement	- Clearing mechanisms 1. Clearing corporations and counterparties 2. Netting and settlement obligations - Settlement systems 1. Margining and risk adjustments 2. T+1/T+2 settlement cycles
Depository Operations	- Demat account framework 1. NSDL and CDSL roles 2. Account opening and maintenance - Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits
Securities Market Operations	- Trading process 1. Trade confirmation and reporting 2. Order execution and trade lifecycle - Market participants and structure 1. Roles of brokers, exchanges, and investors 2. Order types and trading mechanism basics
Risk Management in Securities Markets	- Market and operational risk 1. Operational risk controls 2. Types of financial risks - Risk mitigation systems 1. Margins and collateral systems 2. Surveillance and compliance mechanisms

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q171-Q176):

NEW QUESTION # 171
In the context of corporate actions adjustment for * *Bonus, Stock Splits, and Consolidations** in the Equity F&O segment, how are the New Strike Price and New Market Lot determined relative to the Adjustment Factor?

A. New Strike Price = Old Strike Price / Adjustment Factor; New Market Lot = Old Market Lot / Adjustment Factor
B. New Strike Price = Old Strike Price + Adjustment Factor; New Market Lot = Old Market Lot - Adjustment Factor
C. New Strike Price = Old Strike Price / Adjustment Factor; New Market Lot = Old Market Lot Adjustment Factor
D. New Strike Price = Old Strike Price Adjustment Factor; New Market Lot = Old Market Lot Adjustment Factor
E. New Strike Price =Old Strike Price Adjustment Factor; New Market Lot = Old Market Lot / Adjustment Factor

Answer: C

Explanation:
According to the methodology for adjustment in Equity F&O for Bonus, Stock Splits, and Consolidations: The new strike price shall be arrived at by dividing the old strike price by the adjustment factor. The new market lot/multiplier shall be arrived at by multiplying the old market lot by the adjustment factor.

NEW QUESTION # 172
In the context of the clearing and settlement process within the depository system, SEBI vide its circular dated June 05, 2024, mandated a significant change regarding the pay-out of securities. Which of the following statements accurately describes this revised mechanism?

A. The direct pay-out mechanism is mandatory for all clients, including those having arrangements with SEBI registered custodians.
B. Securities for pay-out must be credited to the Clearing Member's Pool Account, who then has 24 hours to transfer them to the client.
C. Securities for pay-out shall be credited directly to the respective client's demat account by the Clearing Corporations.
D. The timing of the payout of securities remains 1 PM despite the direct credit mechanism.
E. Securities are held in a temporary 'Transit Account' by the Depository until the client issues a Receipt Instruction.

Answer: C

Explanation:
SEBI vide circular dated June 05, 2024, has decided the securities for pay-out shall be credited directly to the respective client's demat account by the CCs. As a consequence, the timing of the payout of securities shall be revised from 1 PM to 3:30 PM. The direct payout shall not be applicable to clients having arrangements with custodians.

NEW QUESTION # 173
Under the ODR framework, what is the specific monetary threshold regarding the aggregate claim/counter-claim amount that necessitates the reference of the matter to an **Arbitral Tribunal consisting of three Arbitrators**?

A. Exceeds Rs. 10,00,000 (Rupees Ten Lakhs)
B. Exceeds Rs. 50,00,000(Rupees Fifty Lakhs)
C. Exceeds Rs. 1,00,00,000 (Rupees One Crore)
D. Exceeds Rs. 20,00,000(Rupees Twenty Lakhs)
E. Exceeds Rs. 30,00,000 (Rupees Thirty Lakhs)

Answer: E

Explanation:
The source specifies: 'In the event that the aggregate of the claim and/or counter-claim amount exceeds Rs 30,00,000 (Rupees Thirty Lakhs) or such amount as specified from time to time, the matter shall be referred to an Arbitral Tribunal consisting of three Arbitrators'.

NEW QUESTION # 174
While institutional trades generally do not attract upfront margins, specific categories of institutional investors are subject to upfront margining similar to non-institutional trades. Identify the category from the list below.

A. Public Financial Institutions defined under the Companies Act
B. Category I Foreign Portfolio Investors (Sovereign Wealth Funds)
C. Insurance Companies registered with IRDAI
D. Category II FPIs who are corporate bodies, individuals, or family offices
E. Mutual Funds registered with SEBI

Answer: D

Explanation:
Trades of Category II FPIs who are corporate bodies, individuals, or family offices and domestic entities who may choose to settle trades through a Custodian shall be margined on an upfront basis as per the margining framework of non-institutional trades. Other institutional trades are margined on T+1 day subsequent to confirmation.

NEW QUESTION # 175
Under the revised framework for redressal of investor grievances through SCORES 2.0, which of the following statements accurately describe the timelines and process flows? (Select all that apply)

A. Entities shall resolve the complaint and upload the Action Taken Report (ATR) on SCORES within 21 calendar days of receipt of the complaint.
B. The Designated Body must submit the revised ATR to the complainant on SCORES within 10 calendar days of the review sought.
C. Complaints are automatically forwarded to the Securities Appellate Tribunal if not resolved within 7 days.
D. If the complainant is not satisfied with the ATR, they may request a review within 15 calendar days from the date of the ATR.
E. The first level of review is conducted by SEBI officials immediately upon request by the investor.

Answer: A,B,D

Explanation:
Entities must resolve complaints within 21 calendar days,. Complainants can request a review within 15 calendar days of the ATR. The Designated Body must submit the revised ATR within 10 calendar days of the review sought. Option D is incorrect as auto-escalation is to the next level (Designated Body/SEBI), not SAT. Option E is incorrect as the first review is by the Designated Body.

NEW QUESTION # 176
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