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NISM NISM-Series-VII Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Risk Management in Securities Markets | - Market and operational risk
|
| Topic 2: Clearing and Settlement | - Clearing mechanisms
|
| Topic 3: Depository Operations | - Corporate actions
|
| Topic 4: Securities Market Operations | - Trading process
|
NISM Series VII - Securities Operations and Risk Management Certification Sample Questions:
When a stock broker's collateral utilization breaches the specific percentage (currently 90%), the 'Risk Reduction Mode' is triggered. Which of the following operational restrictions and conditions apply during this mode? (Select all that apply)
- A. Fresh orders placed by the member to reduce the open position will be accepted.
- B. Only orders with 'Immediate or Cancel' (IOC) attribute are permitted.
- C. Client and Custodial Participant code modification is permitted to rectify errors.
- D. Non-margined orders are accepted without restriction to maintain liquidity.
- E. All unexecuted orders shall be cancelled immediately.
Correct Answer: A,B,E 🗳️
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Regarding the contributions to the Core Settlement Guarantee Fund (Core SGF), which of the following statements accurately reflects the regulatory requirements for Clearing Members (CMS) and the Clearing Corporation (CC)?
- A. Stock Exchanges must contribute 50% of the MRC, while CC and CMS share the remaining 50% equally.
- B. CC contribution shall be at least 50% of the MRC from its own funds, and CM primary contribution shall not exceed 25% of the MRC, with no exposure granted on such contribution.
- C. CMS must contribute at least 50% of the MRC, and this contribution is eligible for margin exposure limits.
- D. CC contribution must be at least 25% of the MRC, and CM contribution is voluntary based on trading volume.
- E. CMS are required to contribute 100% of the MRC in the form of bank guarantees, while CC manages the fund without financial contribution.
Correct Answer: B 🗳️
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In the context of the settlement process, specifically regarding 'Settlement Dues', which of the following statements accurately describes the payment flow and the basis for such payments between the Clearing Agency and its members?
- A. The Clearing Agency pays all dues to clients directly, bypassing the Clearing Members and Custodians, based on the obligation report.
- B. Settlement dues are legally payable only by Trading Members to the Stock Exchange, while the Clearing Agency manages only the securities settlement.
- C. Clearing members and custodians pay the Clearing Agency whatever is due for settlement, and in turn, the Clearing Agency pays them moneys payable for every settlement, based on information provided by the Exchange or Clearing Agency.
- D. The Clearing Agency collects settlement dues from Clearing Banks and distributes them to Clearing Members after deducting a statutory fee.
- E. Clearing members pay the Clearing Agency based on data from the Depository, while the Clearing Agency pays Custodians based on Exchange data.
Correct Answer: C 🗳️
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Which of the following statements accurately reflect the regulatory requirements regarding the 'Statement of Accounts' and dispute resolution related to the settlement of funds? (Select all that apply)
- A. The Statement of Accounts must contain an extract from the client ledger for funds and the register of securities.
- B. Clients must bring any dispute arising from the statement of running account to the notice of the broker within 30 working days from the date of the statement.
- C. The actual settlement of funds must be done by the broker at least once in a calendar quarter or month, depending on the client's preference.
- D. If a client requests a return of funds lying with the Clearing Corporation, the broker must transfer them within 7 working days.
- E. Brokers are permitted to perform inter-client adjustments for the purpose of settlement if the total fund balance at the broker level is sufficient.
Correct Answer: A,B,C 🗳️
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To ensure compliance while providing research-based advisory services, brokerage houses must adhere to specific regulations and circulars. According to the NISM workbook, which of the following represents the governing framework for Research Reports?
- A. SEBI (Stock Brokers) Regulations, 1992 and Master Circular dated May 21 , 2024
- B. Securities Contracts (Regulation) Rules, 1957 and SEBI (Prohibition of Insider Trading) Regulations, 2015
- C. SEBI (Investment Advisers) Regulations, 2013 and Master Circular dated December 16, 2020
- D. SEBI (Portfolio Managers) Regulations, 2020 and Master Circular dated March 20, 2023
- E. SEBI (Research Analysts) Regulation, 2014 and Master Circular for Research Analyst dated May 21 , 2024
Correct Answer: E 🗳️
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