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NISM NISM-Series-VII Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Regulatory Framework | - Role of the Securities and Exchange Board of India (SEBI)
|
| Securities Broking Operations | - Front Office, Middle Office and Back Office functions in a Securities Broking Firm
|
| Trade Life Cycle | - Steps and participants involved in the trade life cycle
|
| Indian Securities Market | - Overview of the Indian securities market
|
| Risk Management | - Risk management in a securities broking firm
|
| Investor Grievance Redressal | - Process of investor grievances redressal
|
NISM Series VII - Securities Operations and Risk Management Certification Sample Questions:
Under the ODR framework, what is the specific monetary threshold regarding the aggregate claim/counter-claim amount that necessitates the reference of the matter to an **Arbitral Tribunal consisting of three Arbitrators**?
- A. Exceeds Rs. 1,00,00,000 (Rupees One Crore)
- B. Exceeds Rs. 50,00,000(Rupees Fifty Lakhs)
- C. Exceeds Rs. 10,00,000 (Rupees Ten Lakhs)
- D. Exceeds Rs. 20,00,000(Rupees Twenty Lakhs)
- E. Exceeds Rs. 30,00,000 (Rupees Thirty Lakhs)
Correct Answer: E 🗳️
Explanation: Only visible for TestInsides members. You can sign-up / login (it's free).
The mechanism for the validation of instructions for Pay-In of securities from a client demat account to a Member Pool Account is explicitly NOT applicable to which category of clients?
- A. Non-Resident Indians (NRIs) trading through a designated stock broker.
- B. Retail investors using the electronic Delivery Instruction Slip (eDIS) facility.
- C. High Net Worth Individuals (HNIs) using Power of Attorney (POA) services.
- D. Corporate clients trading in the derivatives segment only.
- E. Clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.
Correct Answer: E 🗳️
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A claim against a defaulter trading member is received by the Stock Exchange after three years from the date of expiry of the specified period for lodging claims. How is such a claim categorized under the IPF guidelines?
- A. It is treated as a priority claim but paid only after all timely claims are settled.
- B. It is automatically rejected and cannot be pursued in any forum.
- C. It is eligible for 50% of the compensation limit applicable to timely claims.
- D. It may be dealt with as a civil dispute.
- E. It is referred to the SEBI Complaints Redressal System (SCORES) for arbitration.
Correct Answer: D 🗳️
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What is the mandatory mechanism for effecting the pay-in of securities for sell obligations in the T+0 settlement cycle?
- A. Only by way of early pay-in using block mechanism.
- B. Physical Delivery Instruction Slip submitted to the DP by 10:00 AM.
- C. Automatic sweeping of securities from the client's demat account at 1 PM.
- D. Transfer from Client Beneficiary Account to CM Pool Account via standard market instruction.
- E. Inter-depository transfer from the client's account to the Clearing Corporation's account.
Correct Answer: A 🗳️
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Regarding the methodology for adjusting Rights Issues in the Equity F&O segment, how are the Market Lot and Position of the existing contracts modified using the Adjustment Factor?
- A. The new market lot and position are arrived at by multiplying the old market lot and position by the adjustment factor.
- B. The new market lot and position remain unchanged; only the strike price is adjusted.
- C. The new market lot and position are arrived at by dividing the old market lot and position by the adjustment factor.
- D. The new market lot is multiplied, while the position is divided by the adjustment factor.
- E. The new market lot is arrived at by adding the Rights Entitlement ratio to the old lot.
Correct Answer: C 🗳️
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