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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Stock brokers provide various types of research reports to assist investors. Specifically, what content is a 'Sector Research' report expected to cover to help investors in their decision-making process?

A) Detailed technical analysis of stock price movements and volume data for specific scrips.
B) A comprehensive list of all IPOs expected to hit the market in the next financial year.
C) Confidential insider information regarding upcoming mergers and acquisitions.
D) Details on how an industry is faring and whether current policies favour the industry.
E) Mathematical models for algorithmic trading strategies.

2. In the context of Back Office Operations, specifically regarding 'Trade Enrichment', which of the following best describes the process that occurs automatically after trade execution to prepare for clearing and settlement?

A) The manual verification of the 'INST' Custodial Participant code against the clearing member's exposure limits.
B) The splitting of a single institutional order into multiple sub-accounts based on deal sheets provided by the front office.
C) The automatic appending of brokerage rates, GST, stamp duty, and Securities Transaction Tax (STT) to the raw trade data.
D) The generation of a unique client code (IJCC) and mapping it to the client's PAN before the order is routed to the exchange.
E) The netting of buy and sell positions to determine the final open position for the purpose of margin calculation.

3. Which of the following statements are TRUE regarding the management, accruals, and usage of the Core Settlement Guarantee Fund (Core SGF)? (Select all that apply)

A) Stock Exchanges are allowed to transfer excess contribution made by them from the Core SGF of one CC to the Core SGF of another CC in an inter-operable scenario.
B) Interest on cash contribution to Core SGF accrues to the Clearing Corporation as management fees.
C) The Regulatory Oversight Committee (ROC) of the Clearing Corporation manages the Core SGF.
D) Any penalties levied by the Clearing Corporation shall be credited to the Core SGF corpus.
E) CC contribution to Core SGF is treated as a liability and excluded from its net worth.

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

5. To calculate the Adjustment Factor for a **Rights Issue** in the Equity F&O segment, the 'Benefits per share (E)' must first be determined. Which formula correctly represents the calculation of 'E'?

A)

B)

C)

D)

E)

Solutions: