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

1. 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 is treated as a priority claim but paid only after all timely claims are settled.
D) It is automatically rejected and cannot be pursued in any forum.
E) It may be dealt with as a civil dispute.

2. A clearing member fails to discharge their funds obligations at the notified time. According to the NISM workbook, this failure renders the member liable for specific consequences regarding their operations. Which of the following is explicitly mentioned as a potential liability/action?

A) Immediate transfer of the clearing member's proprietary trades to the Investor Protection Fund.
B) Mandatory liquidation of all client assets held in the pool account.
C) Automatic cancellation of the certificate of registration by SEBI.
D) Withdrawal of trading facility.
E) Suspension of the clearing bank's license.

3. Consider the following trading data for Broker 'Y' in Security ABC on a specific trading day:
1. Sold 200 shares @ Rs. 10 to Broker X
2. Bought 50 shares @ Rs. 10.50 from Broker Z
3. Bought 300 shares @ Rs. 11 from Broker X
Calculate the Net Fund Obligation for Broker 'Y' to be settled with the Clearing Corporation.

A) Receive Rs. 2,000
B) Receive Rs. 1,575
C) Pay Rs. 3,825
D) Pay Rs. 1,200
E) Pay Rs. 1,825

4. To participate in the trading of mutual fund units through the stock exchange trading platform, a trading member must fulfill specific criteri a. Which of the following combinations accurately represents the mandatory requirements for a trading member to place orders for a specific Mutual Fund Company?

A) Be a registered Depository Participant, hold a valid ARN, and have a dedicated Mutual Fund desk with at least two certified employees.
B) Register directly with SEBI as an Investment Adviser, hold a valid ARN, and execute a Service Level Agreement with the Clearing Corporation.
C) Hold an AMFI Registration Number (ARN), pass the relevant NISM certification examination, and register as a distributor with the specific Mutual Fund Company.
D) Hold a valid SEBI Registration as a Portfolio Manager, pass the NISM Series-V-A examination, and register with the Association of Mutual Funds in India (AMFI).
E) Obtain a specific 'MF-Trading' license from the Stock Exchange, maintain a minimum net worth of Rs. 50 Lakhs, and hold a valid ARN.

5. In the context of the operations of a Depository Participant (DP), what is identified as the 'main activity' pursuant to the trading activity of an investor?

A) Settlement and transfer of securities from one beneficiary account to another
B) Dematerialization of physical securities
C) Receiving non-cash corporate benefits like bonus shares
D) Freezing of the demat account for debits or credits
E) Pledging of dematerialized securities

Solutions: