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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. In the context of Settlement Dues, the clearing agency pays moneys payable to clearing members and custodians for every settlement. What is the specific basis for determining these payable amounts?

A) Information provided by the Exchange or Clearing Agency
B) The bank statement of the Clearing Bank
C) The net worth certificate submitted by the member
D) The daily margin statement generated by the Clearing Member
E) The contract notes issued by the broker to the client

2. What is the primary objective of the research reports (Fundamental, Stock, Sector, etc.) regularly brought out by stock brokers?

A) To fulfill the mandatory requirement of the Companies Act, 2013.
B) To help the investor make informed investment decisions.
C) To manipulate the market price of illiquid securities.
D) To generate additional brokerage by encouraging excessive churning of portfolios.
E) To replace the role of the Investment Adviser completely.

3. Every Depository Participant (DP) is required to abide by a specific Code of Conduct. Which regulation explicitly specifies this Code of Conduct in its Third Schedule?

A) SEBI (Intermediaries) Regulations, 2008
B) SEBI (Depository & Participants) Regulations, 2018
C) Depositories Act, 1996
D) SEBI (Prohibition of Insider Trading) Regulations, 2015
E) SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015

4. Regarding the utilization of proceeds generated from an Auction or Close-out procedure, what is the regulatory requirement for handling any residual amount remaining after settling the claim of the aggrieved party?

A) It is distributed equally among all non-defaulting clearing members.
B) It must be credited to the Investor Protection Fund (IPF) of the Exchange.
C) It should be credited to the Core Settlement Guarantee Fund (Core SGF).
D) It is transferred to the SEBI General Fund.
E) It is returned to the defaulting member after deducting a 1% processing fee.

5. According to the requirements for maintaining books of account, what specific details must be recorded in the 'Register of Transactions' (Sauda Book)?

A) Receipts and payments of funds involving clients, distinguishing between margin and settlement obligations.
B) General expenses, overheads, salaries, and petty cash adjustments for the broking firm.
C) Details of all dematerialized securities held in the broker's pool account and beneficiary account.
D) Only the net obligation of funds and securities to be settled with the Clearing Corporation.
E) Each transaction effected, showing the name of the security, its value, rates gross and net of brokerage, and names of the clients.

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