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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 mandated to maintain Investor Service Centres (ISCs) to assist investors. Which of the following is specifically listed as a mandatory facility that ISCS must provide to investors regarding the arbitration process?

A) Reimbursement of all travel and lodging expenses for attending hearings
B) Video-calling facility for attending online arbitration or Grievance Redressal meetings
C) Free legal representation by the Exchange's empanelled lawyers
D) A panel of three arbitrators physically present at the centre during market hours
E) Dedicated recording studios for documenting verbal grievances

2. 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

3. Which of the following statements accurately describe the application of the 'Close Out' procedure by the Clearing Corporation? (Select all that apply)

A) Delivery shortages in securities undergoing corporate action are directly closed out.
B) The close out price is strictly fixed at the closing price of the trade day for all scenarios.
C) Any surplus proceeds from a close out are credited to the defaulting party's settlement account.
D) Close out is conducted if an auction for short delivery finds no sellers.
E) Securities under 'Trade for Trade' category are subject to direct close out without an auction.

4. To bring transparency to the Investor Grievance Redressal Mechanism, stock brokers are mandated to disclose data on complaints received and redressed on their respective websites. What is the specific deadline for this disclosure?

A) By the 15th of the succeeding month
B) By the last day of the succeeding month
C) Within 21 days of the end of the quarter
D) By the 10th of the succeeding month
E) By the 7th of the succeeding month

5. Under the mechanism of 'Net Settlement of Cash segment and Futures & Options (F&O) segment upon expiry of stock derivatives', which of the following investor scenarios is ELIGIBLE for the benefit of netting (merged settlements)?

A) A Portfolio Management Service (PMS) client who is mandatorily directed to enter into delivery-backed transactions.
B) A retail investor whose Trading Member clears trades in both F&O and Cash segments through the same Clearing Member.
C) A retail investor whose Trading Member clears F&O trades through Clearing Member 'X' and Cash trades through Clearing Member 'Y'.
D) An investor trading through two different Trading Members who both clear through the same Clearing Member.
E) An Institutional Investor (FPI Category l) trading through the same Trading Member and Clearing Member in both segments.

Solutions: