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

1. Regarding the operational parameters for the beta version of the T+0 rolling settlement cycle, how is the price band determined and re-calibrated during the trading session?

A) It is set at +1- 10% of the opening price of the T+0 market and remains static throughout the continuous trading session.
B) It operates with a price band of +100 basis points from the price in the regular T+1 market, re-calibrated after every 50 basis points movement in the underlying T+1 market.
C) It mirrors the price band of the T+1 market exactly, including any circuit breaker halts.
D) It is dynamically linked to the futures market price with a variance of 0.5%.
E) It is fixed at +1-5% of the previous day's closing price without any intraday recalibration.

2. A stock broker intends to expand their business scope by offering Portfolio Management Services (PMS) and functioning as a Depository Participant. According to the regulatory framework for 'Other Services Provided by Brokers', which of the following statements accurately reflects the registration requirement for these additional services?

A) Registration is only required with the Stock Exchange for PMS, while Depository services require SEBI registration.
B) The broker needs to convert into a Non-Banking Financial Company (NBFC) to offer these services, but no separate SEBI registration is needed.
C) The existing stock broker registration with SEBI is comprehensive and covers all financial services including PMS and Depository services.
D) The broker must obtain separate registration/licenses from SEBI for each of the specific services like PMS and Depository services.
E) These services can be offered under a general 'Investment Advisory' license without specific product registration.

3. A clearing member fails to discharge their funds obligations at the notified time. According to the NISM workbook, this failure renders the member liable for specific consequences regarding their operations. Which of the following is explicitly mentioned as a potential liability/action?

A) Mandatory liquidation of all client assets held in the pool account.
B) Automatic cancellation of the certificate of registration by SEBI.
C) Immediate transfer of the clearing member's proprietary trades to the Investor Protection Fund.
D) Withdrawal of trading facility.
E) Suspension of the clearing bank's license.

4. According to the SEBI circular dated April 05, 2022, regarding the use of Unified Payment Interface (UPI) in public issues of equity shares, which specific category of investors is mandated to use UPI and provide their UPI ID in the bid-cum-application form?

A) Qualified Institutional Buyers (QIBs) applying up to Rs. 2 Lakhs.
B) All Retail Individual Investors applying for any amount.
C) All Individual Investors applying in Public issues where the application amount is up to 5 Lakhs.
D) Non-lnstitutional Investors (NIIs) applying above Rs. 2 Lakhs.
E) Anchor Investors applying during the anchor book period.

5. Regarding the execution of transfer instructions, under what condition is a Depository Participant (DP) permitted to register the transfer of securities from a beneficial owner's account?

A) Whenever the account balance falls below the minimum required balance
B) Upon implied consent derived from the client's trading pattern
C) Based on a standing instruction from the Stock Exchange for all accounts
D) Only on receipt of instructions from the beneficial owner and thereafter confirming the same to the beneficial owner
E) Immediately upon receipt of a market rumour regarding the security

Solutions: