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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Which of the following statements accurately reflect the regulatory framework and exposure limits for Margin Trading Facility (MTF)?
(Select all that apply)

A) Stock brokers shall disclose gross exposure towards MTF to the Stock Exchanges on or before 6:00 PM on T+1 day.
B) Collateral and Funded stocks need not be marked to market daily if they are Group 1 securities.
C) Exposure to any single client at any point of time shall not exceed 20% of the broker's maximum allowable exposure.
D) Stock brokers must obtain prior permission from the exchange before offering MTF.
E) Only corporate brokers with a net worth of at least Rs. 3 crore are eligible to provide MTF.

2. While Equity Derivatives generally follow a T+1 settlement cycle for daily and final settlement, which specific segment has a Final Settlement cycle of T+2 basis?

A) Index Futures
B) Interest Rate Futures
C) Index Options
D) Currency Derivatives
E) Stock Options (Physical Settlement)

3. Select the correct statements regarding the online risk management system capabilities that a broker must possess for Middle Office Operations. (Select all that apply)

A) The system should strictly allow order modification only after trade execution is confirmed by the back office.
B) The system must have on-line real-time risk management for all orders placed on the exchange trading system.
C) The system should have the capability to generate reports relating to margin requirements and delivery obligations.
D) The system must maintain separate ledgers for proprietary and client trades but need not monitor them in real-time.
E) Only orders within parameters like Order Quantity, Value Limits, and Price Limits should be pushed to the exchange.

4. To enable the validation of Pay-In instructions by Depositories, what is the specific role and timeline mandated for Clearing Corporations (CCs) in this process?

A) CCs must generate a physical delivery instruction slip for every client obligation by T+1 morning.
B) CCs shall provide client-wise net delivery obligations on T day to the depositories.
C) CCs must validate the ISINs in the client account against the Exchange master list on T-1 day.
D) CCs shall transfer the securities from the client account to the pool account directly without Depository intervention.
E) CCs must approve every individual transfer instruction manually before execution on the settlement day.

5. To ensure compliance with Margin Trading Facility (MTF) regulations, stock brokers are required to submit a certificate to the exchange.
What is the frequency and timeline for this submission?

A) Monthly; by the 7th of the succeeding month.
B) Annually; along with the Annual Returns by October 31st.
C) Half-yearly; within one month from the half-year ending 31st March and 30th September.
D) Quarterly; within 15 days from the end of the quarter.
E) Event-based; within 7 days of exceeding the exposure limits.

Solutions: