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

1. Which of the following statements are CORRECT regarding the Settlement of Securities in the Indian Cash Market? (Select all that apply)

A) The securities direct pay-out mandated by SEBI is applicable to all clients, including those having arrangements with registered custodians.
B) Purchasers of securities are required to issue a fresh receipt instruction to their DP for every transaction, as standing instructions are prohibited.
C) In case of holidays, the CCs settle trades on a sequential basis, ensuring the pay-out of the first settlement is completed before the pay-in of the subsequent settlement.
D) Clients can authorize the broker via DDPI to access their BO account for the limited purpose of meeting pay-in obligations.
E) As a consequence of Direct Payout, the timing of the securities payout has been revised to 3:30 PM.

2. Select the correct statements regarding the online risk management system capabilities that a broker must possess for Middle Office Operations. (Select all that apply)

A) The system should strictly allow order modification only after trade execution is confirmed by the back office.
B) The system must maintain separate ledgers for proprietary and client trades but need not monitor them in real-time.
C) The system must have on-line real-time risk management for all orders placed on the exchange trading system.
D) The system should have the capability to generate reports relating to margin requirements and delivery obligations.
E) Only orders within parameters like Order Quantity, Value Limits, and Price Limits should be pushed to the exchange.

3. Which of the following scenarios is explicitly EXEMPT from the mandatory periodic settlement of running accounts for funds?

A) High Net Worth Individuals (HNls) who have provided a written waiver.
B) Clients trading in the derivatives segment only.
C) Institutional clients settling trades through custodians.
D) Clients who have logged into their trading account at least once in the last 30 days.
E) Clients who have a credit balance of less than Rs. 1 lakh.

4. Which of the following statements correctly describe the operational framework for the settlement of institutional transactions in the Cash Segment? (Select all that apply)

A) The Custodial Participant (CP) Code must be entered at the time of order entry.
B) All transactions are grossed for institutional investors at the custodian level for obligation fulfillment.
C) It is mandatory for all institutional trades to be processed through the Straight Through Processing (STP) system.
D) Institutional investors are permitted to square off their transactions intra-day (Day Trading).
E) The custodian settles their deliveries on a gross basis with the stock exchanges.

5. Under the 'Beta version of T+0 rolling settlement cycle on optional basis', which of the following operational parameters regarding trading hours, price bands, and shortage handling is correctly defined?

A) Pay-in for T+0 sell obligations is allowed only by way of early pay-in using the block mechanism.
B) The trading session operates continuously from 09:15 AM to 3:30 PM.
C) The price band is fixed at +1-5% of the closing price in the regular T+1 market.
D) Security shortages are handled through an auction session conducted on the same day.
E) Netting of pay-in and pay-out obligations is permitted between T+1 and T+0 settlement cycles.

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