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

1. While the Securities and Exchange Board of India (SEBI) is the primary regulator for the securities market, certain powers under the Securities Contracts (Regulation) Act (SCRA) are exercised concurrently by the Reserve Bank of India (RBI). For which of the following instrument types is this concurrent jurisdiction explicitly applicable?

A) Real Estate Investment Trusts (REITs)
B) Equity Derivatives settled physically
C) Infrastructure Investment Trusts (InvITs)
D) Commodity Derivatives
E) Ready forward contracts in debt securities

2. Regarding the calculation of the settlement date in a T+1 rolling settlement environment, which of the following days are explicitly excluded when determining the T+1 day?

A) Only Exchange trading holidays.
B) Bank holidays, Exchange/Clearing Corporation holidays, Saturdays, and Sundays.
C) Only days when the Reserve Bank of India (RBI) is closed.
D) Only Saturdays and Sundays.
E) Public holidays declared under the Negotiable Instruments Act only.

3. In certain market segments or scenarios, the Clearing Corporation bypasses the auction mechanism and directly initiates a 'Close Out' for delivery shortages. Which of the following is a specific case where this direct close-out procedure is mandated?

A) Shortages arising from institutional trades not confirmed by the Custodian.
B) Shortages in liquid securities (Group l) where the impact cost is less than 1%.
C) Trades executed in the Block Deal window.
D) Internal shortages within a broker's firm that could not be resolved via self-auction.
E) Shortages where the value is less than Rs. 1 Lakh.

4. Regarding the 'Direct Pay-out' of securities mandated by SEBI vide circular dated June 05, 2024, which of the following operational changes has been implemented concerning the credit of securities and the settlement timing?

A) Securities are credited to the Broker's Pool Account by 1 PM, and the broker must transfer them to the client by 3:30 PM on the same day.
B) Securities are credited directly to the client's demat account by the Clearing Corporation, and the pay-out timing is revised from 1 PM to 3:30 PM.
C) Securities are credited to a temporary 'Client Unpaid Securities Account' maintained by the Clearing Corporation until funds are cleared.
D) The pay-out timing remains 1 PM, but the securities are credited to the client's account on T+2 day instead of T+1.
E) Direct pay-out is applicable only for Institutional Clients, while Retail Clients continue to receive shares via the Broker's Pool Account.

5. SEBI introduced Chapter IVA in the SEBI (Stock Brokers) Regulations, 1992, to mandate an 'Institutional Mechanism for Prevention and Detection of Fraud or Market Abuse'. Which of the following is NOT explicitly listed as a required component of this mechanism?

A) Escalation and reporting mechanisms
B) Obligations of the stock-broker and its employees
C) Systems for surveillance of trading activities and internal controls
D) Mandatory rotation of the Principal Officer every 3 years
E) Whistle Blower Policy

Solutions: