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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Stock Exchanges are required to maintain an Investor Services Fund (ISF) distinct from the Investor Protection Fund (IPF). What is the specific contribution requirement from the Stock Exchange towards the ISF?

A) At least 20% of the listing fees received.
B) 1% of the listing fees received, on a quarterly basis.
C) The penalty collected for client code modification.
D) 5% of the transaction charges collected from members.
E) 100% of the interest earned on the 1% security deposit of issuer companies.

2. Select the correct statements regarding the online risk management system capabilities that a broker must possess for Middle Office Operations. (Select all that apply)

A) The system should strictly allow order modification only after trade execution is confirmed by the back office.
B) The system must have on-line real-time risk management for all orders placed on the exchange trading system.
C) Only orders within parameters like Order Quantity, Value Limits, and Price Limits should be pushed to the exchange.
D) The system must maintain separate ledgers for proprietary and client trades but need not monitor them in real-time.
E) The system should have the capability to generate reports relating to margin requirements and delivery obligations.

3. In the context of clearing membership on a Stock Exchange, identify the member category that possesses only clearing rights (no trading rights) and is authorized to clear and settle trades executed by both trading members and custodian participants.

A) Authorized Person (AP)
B) Trading Member (TM)
C) Professional Clearing Member (PCM)
D) Trading Member-cum-Clearing Member (TCM)
E) Trading cum Self-clearing Member (SCM)

4. According to the SEBI circular dated April 05, 2022, regarding the use of Unified Payment Interface (UPI) in public issues of equity shares, which specific category of investors is mandated to use UPI and provide their UPI ID in the bid-cum-application form?

A) Anchor Investors applying during the anchor book period.
B) All Individual Investors applying in Public issues where the application amount is up to 5 Lakhs.
C) All Retail Individual Investors applying for any amount.
D) Qualified Institutional Buyers (QIBs) applying up to Rs. 2 Lakhs.
E) Non-lnstitutional Investors (NIIs) applying above Rs. 2 Lakhs.

5. A claim against a defaulter trading member is received by the Stock Exchange after three years from the date of expiry of the specified period for lodging claims. How is such a claim categorized under the IPF guidelines?

A) It is eligible for 50% of the compensation limit applicable to timely claims.
B) It is referred to the SEBI Complaints Redressal System (SCORES) for arbitration.
C) It may be dealt with as a civil dispute.
D) It is treated as a priority claim but paid only after all timely claims are settled.
E) It is automatically rejected and cannot be pursued in any forum.

Solutions: