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

1. In the context of primary market issuance, which of the following correctly defines a 'Retail Individual Investor'?

A) An investor who trades strictly in the cash segment with a turnover less than two lakhs rupees
B) Any investor who applies for specified securities for a value of not more than five lakhs rupees
C) An individual investor whose total annual income is less than two lakhs rupees
D) Any non-institutional investor applying for securities up to ten lakhs rupees
E) An individual investor (Resident Indians, NRIs, HUF) who applies for specified securities for a value of not more than two lakhs rupees

2. Under the SEBI (Foreign Portfolio Investors) Regulations, 2019, which of the following entities are classified as Category I Foreign Portfolio Investors? (Select all that apply)

A) Government and Government related investors
B) Entities from Financial Action Task Force (FATF) member countries
C) Charitable organizations
D) Corporate bodies
E) Pension funds and university funds

3. When a stock broker places an order for an additional subscription of mutual fund units in physical mode through the Exchange system, which of the following data fields is mandatory to ensure the transaction is processed correctly?

A) Client Beneficiary ID
B) Depository Participant ID
C) ISIN of the Demat Account
D) Folio Number
E) UCC Mapping Code

4. Under the Online Dispute Resolution (ODR) framework, if a Market Participant wishes to initiate dispute resolution against an investor/client through the ODR Portal, which of the following procedural pre-requisites must be strictly fulfilled?

A) The Market Participant can only initiate ODR if the claim value exceeds Rs. 10 Lakhs.
B) The Market Participant must wait for a mandatory cooling-off period of 60 days from the date of the transaction.
C) The Market Participant must give due notice of at least 15 calendar days to the investor/client for resolution of the dispute.
D) The Market Participant must obtain a 'No Objection Certificate' from SEBI.
E) The Market Participant must deposit 50% of the disputed amount with the Stock Exchange.

5. When a corporate action adjustment (such as a bonus ratio of 3:7) results in fractions, a specific methodology is adopted to minimize fraction settlements. How are the Strike Price and Market Lot rounded off in this process?

A) Strike Price: Rounded up to nearest integer; Market Lot: Rounded down to nearest 100
B) Strike Price: Nearest integer; Market Lot: Nearest tick size
C) Strike Price: Rounded down to nearest tick; Market Lot: Rounded up to nearest integer
D) Strike Price: Nearest tick size; Market Lot: Nearest integer
E) Strike Price: Exact value up to 2 decimal places; Market Lot: Exact value

Solutions: