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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Identify the trading sessions or mechanisms that are explicitly NOT applicable under the T+0 settlement cycle. (Select all that apply)

A) Auction Session
B) Continuous Trading Session
C) Early Pay-in via Block Mechanism
D) Post Close Session
E) Pre-open Session

2. Various intermediaries play specific roles in the securities ecosystem. Which specific group of intermediaries is described as providing 'important infrastructure services' to both the primary and secondary markets?

A) Merchant Bankers and Underwriters
B) Registrars and Transfer Agents, Custodians, and Depositories
C) Foreign Portfolio Investors (FPls) and Mutual Funds
D) Investment Advisors and Research Analysts
E) Stock Brokers and Sub-brokers

3. Consider the following 'Sell' order book for a security. A new Buy Limit Order for 500 shares at a price of Rs. 121.50 is entered into the system.

Based on the price-time priority mechanism, how will this buy order be executed?

A) 50 shares @ 121.20, 100 shares @ 121.20, 200 shares @ 121.40, and 150 shares @ 121.50
B) 500 shares @ Rs. 121.50
C) 150 shares @ 121.20, 200 shares @ 121.40, and 150 shares @ 121.50
D) 200 shares @ 121.50, 200 shares @ 121.40, and 100 shares @ 121.20
E) The order will remain pending as the full quantity cannot be matched at a single price.

4. 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) The Clearing Agency collects settlement dues from Clearing Banks and distributes them to Clearing Members after deducting a statutory fee.
D) 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.
E) Clearing members pay the Clearing Agency based on data from the Depository, while the Clearing Agency pays Custodians based on Exchange data.

5. Select the correct statements regarding the regulations governing the modification of Client Codes and Custodial Participant (CP) Codes for trades executed on Indian Stock Exchanges. (Select all that apply)

A) Members can modify the Custodial Participant (CP) Code on the T+1 day until 11 AM.
B) Proprietary trades can be modified as client trades and vice versa if the request is made within 45 minutes of trade execution.
C) Stock Exchanges may allow modifications of client codes of non-institutional trades only to rectify a genuine error in entry of client code.
D) Shifting of trades to the 'error account' of the broker is not treated as modification of client code, provided the trades are subsequently liquidated.
E) Modification between client codes of two unrelated institutional clients will be subject to penalty.

Solutions: