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

1. 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 obtain a 'No Objection Certificate' from SEBI.
C) The Market Participant must wait for a mandatory cooling-off period of 60 days from the date of the transaction.
D) The Market Participant must give due notice of at least 15 calendar days to the investor/client for resolution of the dispute.
E) The Market Participant must deposit 50% of the disputed amount with the Stock Exchange.

2. Which of the following statements accurately describe the settlement mechanisms and schedules in the Indian Securities Market?
(Select all that apply)

A) Equity Cash market trades executed on T day are settled on T+1 day.
B) In Cash Settlement of derivatives, counterparties exchange the underlying physical asset upon expiry.
C) The final settlement of Currency Derivatives occurs on a T+1 basis.
D) Exchange-traded equity derivatives contracts on Indices are cash-settled.
E) Funds pay-in for the T+1 settlement cycle in the Cash Market must occur by 11 AM on T+1 day.

3. Under the framework for 'Demat Debit and Pledge Instruction' (DDPI), which replaces the Power of Attorney (POA) for specific purposes, for which of the following activities is the use of DDPI strictly limited to?

A) Transfer of securities to the demat account of the Trading Member for margin purposes (title transfer).
B) Transfer of securities held in the beneficial owner accounts of the client towards Stock Exchange related deliveries or settlement obligations.
C) Execution of off-market trades between parties other than the related parties.
D) Transfer of funds from the bank account of the client to the stock broker's settlement account for meeting margin requirements.
E) Opening a new beneficial owner account or a broking facility with another stock broker.

4. SEBI introduced the 'Demat Debit and Pledge Instruction' (DDPI) to replace the Power of Attorney (POA) for certain functions. For which of the following specific purposes does the DDPI authorize the stock broker/stock broker and depository participant to access the client's beneficial owner (BO) account?

A) Executing off-market trades between parties other than related parties.
B) Transferring funds from the client's bank account to the broker's proprietary account.
C) Opening a new demat account with another depository participant on behalf of the client.
D) Updating the client's address and contact details in the KRA system.
E) Meeting pay-in obligations for the settlement of trades executed by the client.

5. Stock brokers are permitted to borrow funds for providing Margin Trading Facility (MTF) from specific sources. Which of the following sources is explicitly prohibited for raising funds for MTF?

A) Using surplus funds of one client to provide margin trading facility to another client.
B) Issuance of Commercial Paper (CP) subject to RBI guidelines.
C) Borrowing from Scheduled Commercial Banks.
D) Unsecured long-term loans from promoters and directors.
E) Borrowing from Non-Banking Financial Companies (NBFCs) regulated by RBI.

Solutions: