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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Which of the following statements accurately describe the features and conditions of the 'Net Settlement of Cash segment and Futures & Options (F&O) segment upon expiry of stock derivatives'? (Select all that apply)

A) Netting of delivery obligations is strictly for the purpose of settlement.
B) Investors whose Trading Member clears trades through different Clearing Corporations for Cash and F&O are eligible for netting.
C) The benefit of netting is available to non-institutional Custodial Participants (CPs) clearing through the same entity registered both as a custodian in cash and as a CM in F&O.
D) Clearing Corporations continue to maintain segment-wise default waterfalls.
E) Securities Transaction Tax (STT) is computed on the final netted obligation to avoid double taxation.

2. The Clearing Corporation performs three main functions: clearing, settlement, and risk management. Which of the following statements accurately defines the specific scope of the 'clearing' function?

A) It involves the handling of exceptional situations like auction settlement and bad delivery.
B) It is the process designed to work out what members are due to deliver and what members are due to receive on the settlement date.
C) It is the two-way process which involves the actual transfer of funds and securities on the settlement date.
D) It is the process of collecting margins and maintaining the Core Settlement Guarantee Fund.
E) It is the mechanism of linking multiple depositories to facilitate inter-depository transfers.

3. Distinguishing the roles of market segments is vital for understanding capital formation. Which statement correctly identifies the primary interaction dynamic in the Secondary Market compared to the Primary Market?

A) The settlement is always done directly between the issuer and the clearing corporation.
B) Dealings are strictly between two investors, and the issuer does not come into the picture.
C) The issuer has direct contact with the investor to raise new capital.
D) It is used primarily for Initial Public Offers (IPOs) and Rights Issues.
E) It ensures availability of adequate capital at reasonable rates for expansion.

4. When a company announces a Bonus Issue in the ratio of A:B, specific adjustments are made to the Strike Price, Market Lot, and Position of Equity F&O contracts. Which of the following formulas correctly represents the Adjustment Factor used for these calculations?

A) (A + B) / B
B) (A - B) / B
C) A / (A + B)
D) (A * B) / (A + B)
E) B / (A + B)

5. Regarding the facility provided by Clearing Corporations to Clearing Members for the pay-in of securities through NSDL/CDSL, which automated mechanism is available to streamline the process?

A) Delivery-out instructions generated automatically by the Clearing Corporation based on the net delivery obligations of its Clearing Members.
B) Automatic debit of the client's bank account for the value of securities short delivered.
C) Auto-pledge of client securities directly to the Clearing Corporation without broker intervention.
D) Auto-borrowing of securities from the Securities Lending and Borrowing (SLB) platform to meet shortfalls.
E) Automatic conversion of physical shares to demat shares on the pay-in date.

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