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NISM NISM-Series-VII Exam Syllabus Topics:

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

Question 1

A stock broker executes multiple trades for a client throughout the day in various securities. According to the clearing process regarding the balancing of client accounts within the broker's firm, how is the final obligation handled?

A. Netting is allowed only for institutional clients, while retail client accounts must be settled on a trade-to-trade basis.
B. The broker must segregate buy and sell transactions and settle them separately without offsetting.
C. Every trade is settled gross with the clearing corporation, and netting is strictly prohibited within the broker's books.
D. At the end of the day, the position of each client is netted against all his transactions and the final pay-in/pay-out is carried out.
E. Client accounts are balanced weekly to determine the net obligation for the settlement cycle.

Question 2

According to the Securities Contracts (Regulation) Act, 1956 (SCRA), the definition of 'Securities' has been expanded to include various instruments. Which of the following specific instruments is explicitly included in this definition as per the Act?

A. Promissory Notes issued by private individuals for personal loans
B. Fixed Deposit Receipts issued by Scheduled Commercial Banks
C. Electronic Gold Receipts issued on the basis of deposit of underlying physical gold
D. Insurance Policies linked to Unit Linked Insurance Plans (ULIPs)
E. Real Estate Sale Deeds registered under the Registration Act

Question 3

For a client availing the Margin Trading Facility (MTF) to purchase Group 1 equity shares that are NOT available for trading in the F&O segment, what is the applicable initial margin requirement that the stock broker must collect?

A. VaR Margin + Extreme Loss Margin (ELM)
B. Span Margin + Exposure Margin
C. VaR Margin + 5 times applicable Extreme Loss Margin
D. VaR Margin + 3 times applicable Extreme Loss Margin
E. 40% of the trade value irrespective ofVaR and ELM

Question 4

Based on the 'Cyber Security and Cyber Resilience Framework (CSCRF)' for Stock Brokers, which of the following correctly match the 'Cyber Resiliency Goals' with their definitions? (Select all that apply)

A. Contain: Localise containment of crisis and isolate trusted functions from untrusted ones to continue business operations.
B. Recover: Continue essential business functions at times of adversary attacks.
C. Anticipate: Maintain a state of informed preparedness from adversary attacks.
D. Withstand: Restore business functions to the maximum extent subsequent to adversary attacks.
E. Evolve: To change business functions and its supporting cyber capabilities to minimize adverse impacts of adversary attacks.

Question 5

Which of the following statements correctly describe the clearing and netting processes involving brokers and the Clearing Corporation?
(Select all that apply)

A. The Clearing Corporation performs multilateral netting to determine the net settlement obligations of members.
B. Every day, the Clearing Corporation sends the clearing member a list of all trading transactions made by him and his clients.
C. Stock brokers are permitted to net client accounts within their firm at the end of the day.
D. The final pay-in/pay-out of securities and funds is carried out through clearing banks and depository participants.
E. Netting at the Clearing Corporation level is done on a bilateral basis between buying and selling brokers.

Solutions: