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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. If a client submits a transfer instruction where the quantity is *less* than the net delivery obligation provided by the Clearing Corporation, what is the outcome of the validation process by the Depositories?

A) The instruction is carried out by the depositories.
B) The instruction is routed to the Clearing Member for manual approval before processing.
C) The instruction is processed, but a penalty is automatically levied on the client for short delivery.
D) The instruction is held in abeyance until a supplementary instruction for the balance quantity is received.
E) The instruction is rejected because it does not fully meet the obligation.

2. Regarding participation in the International Financial Services Centres (IFSC), which of the following categories of resident investors is eligible to deal in securities listed in IFSC?

A) Only resident Qualified Institutional Buyers (QIBs).
B) Residents are strictly prohibited from dealing in securities listed in IFSC.
C) A person resident in India eligible under FEMA to invest funds offshore, to the extent allowed under the Liberalized Remittance Scheme (LRS).
D) Only resident corporate entities with a net worth exceeding Rs. 100 Crore.
E) Any resident individual irrespective of investment limit.

3. An investor wishes to lodge a complaint against a registered intermediary on the SCORES platform. Under the current limitation period guidelines, which of the following scenarios would likely lead to SEBI reserving the right to reject the complaint?

A) The date of the cause of action is more than one year old.
B) The complaint is lodged immediately after the intermediary provided an unsatisfactory reply.
C) The investor has already initiated arbitration proceedings for the same matter.
D) The investor has approached the intermediary, but received no communication, and the cause of action is 8 months old.
E) The complaint is lodged within 6 months from the date the intermediary rejected the initial grievance.

4. Regarding the execution of a 'Delivery Instruction Slip' (DIS) for debiting a beneficiary account in a depository, which of the following conditions is **MANDATORY** for the instruction to be processed?

A) The DIS must be physically submitted even if the client has enabled electronic DIS facilities.
B) The execution date on the DIS cannot be a future date; it must be the same as the submission date.
C) The DIS must be signed only by the primary holder in case of joint accounts.
D) The DIS must be counter-signed by a SEBI registered official.
E) The DIS must clearly indicate whether the trade is an 'off-market' trade or a 'market' trade.

5. Which of the following statements correctly describe the operational framework for the settlement of institutional transactions in the Cash Segment? (Select all that apply)

A) The Custodial Participant (CP) Code must be entered at the time of order entry.
B) It is mandatory for all institutional trades to be processed through the Straight Through Processing (STP) system.
C) The custodian settles their deliveries on a gross basis with the stock exchanges.
D) Institutional investors are permitted to square off their transactions intra-day (Day Trading).
E) All transactions are grossed for institutional investors at the custodian level for obligation fulfillment.

Solutions: