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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. A stock broker intends to provide an Internet Based Trading (IBT) facility to clients using their own infrastructure. According to the regulatory framework, what is the specific Net Worth requirement for the broker, and what is the timeline within which the Stock Exchange must communicate its decision on the application?

A) Minimum Net Worth: Rs. 1 Crore; Decision Timeline: 15 calendar days.
B) Minimum Net Worth: Rs. 25 Lakhs; Decision Timeline: 30 working days.
C) Minimum Net Worth: Rs. 10 Lakhs; Decision Timeline: 7 working days.
D) Minimum Net Worth: Rs. 50 Lakhs; Decision Timeline: 15 working days.
E) Minimum Net Worth: Rs. 50 Lakhs; Decision Timeline: 7 calendar days.

2. 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 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.
B) Brokers are permitted to perform inter-client adjustments for the purpose of settlement if the total fund balance at the broker level is sufficient.
C) 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.
D) If a client requests a return of funds lying with the Clearing Corporation, the broker must transfer them within 7 working days.
E) The Statement of Accounts must contain an extract from the client ledger for funds and the register of securities.

3. According to the SEBI guidelines on Trade Annulment, what is the specific application fee structure that Stock Exchanges must charge for accepting an annulment request from a stock broker?

A) 5% of the value of trade(s), subject to a minimum of? 1 lakh and maximum of ? 10 lakhs.
B) A fixed fee of? 1 lakh irrespective of trade value, credited to the Investor Service Fund.
C) 2% of the value of trade(s), with no minimum or maximum cap, credited to the Core Settlement Guarantee Fund.
D) 1% of the value of trade(s), subject to a minimum of ? 50,000 and maximum of ? 5 lakhs.
E) There is no fee for trade annulment if the request is submitted within 30 minutes.

4. In the context of the 'Trade to trade' or 'Gross obligations' method for determining settlement obligations, how are a member's funds obligations calculated?

A) Funds pay-in is the net of cumulative buy and sell values, while funds pay-out is zero.
B) Funds obligations are determined solely based on the netted quantity of securities delivered.
C) Funds pay-in is the cumulative buy value minus 20% margin, and pay-out is the cumulative sell value.
D) Funds pay-in is equivalent to the cumulative value of buy transactions, and funds pay-out is equivalent to the cumulative sell value.
E) Funds pay-in and pay-out are both calculated on a netted basis across all clients.

5. Under the 'Direct Pay-out' of securities framework mandated by SEBI, to which category of clients is this facility not applicable?

A) Non-Resident Indians (NRIs) dealing through a Portfolio Investment Scheme (PIS)
B) Retail Individual Investors
C) High Net-worth Individuals (HNls)
D) Qualified Stock Brokers' proprietary trading accounts
E) Clients having arrangements with custodians registered with SEBI for clearing and settlement

Solutions: