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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 regulatory and operational framework regarding Clearing Banks and Clearing Members? (Select all that apply)

A) Additional clearing accounts may be maintained for the specific purpose of enhancing collateral in the form of cash.
B) Clearing Members must irrevocably authorize the Clearing Bank to allow the Clearing Corporation to access their accounts for debiting and crediting.
C) Every clearing member must maintain a separate and distinct primary clearing account for each segment.
D) Clearing Members are permitted to withdraw funds from their clearing accounts in favor of third-party beneficiaries.
E) Clearing Banks are responsible for determining the final net settlement obligations of the Clearing Members.

2. The Securities Contracts (Regulation) Act, 1956 (SCRA) and the SEBI Act, 1992 have distinct regulatory scopes. Which of the following regulatory functions falls specifically under the direct jurisdiction of the Central Government as per the SCRA, 1956?

A) Registration of Foreign Portfolio Investors
B) Prohibition of Insider Trading
C) Registration of Venture Capital Funds
D) Regulation of Portfolio Managers
E) Recognition and continued supervision of Stock Exchanges

3. The interoperability framework among Clearing Corporations (CCs) allows Clearing Members to select the CC of their choice. Which of the following products or schemes is explicitly excluded from this interoperability framework?

A) Interest Rate Derivatives
B) Equity Derivatives
C) Equity Cash Segment
D) Securities Lending and Borrowing Scheme (SLB)
E) Currency Derivatives

4. Clearing Corporations are required to conduct various tests to ensure the adequacy of the Core SGF. What is the specific purpose of the 'Reverse Stress Test' as defined in the risk management framework?

A) To test the operational capability of the backup disaster recovery site.
B) To determine the daily settlement price of illiquid futures contracts.
C) To calculate the historical volatility of the most liquid securities over the past 5 years.
D) To validate the accuracy of the software used for margin calculation.
E) To identify under which market conditions and scenarios the combination of margins, Core SGF, and other financial resources would prove insufficient.

5. Which of the following statements correctly reflect the regulatory framework and operational guidelines for the trading of Mutual Fund units on Stock Exchange Platforms? (Select all that apply)

A) For both demat and non-demat mode transactions, units shall be credited/debited directly to/from the investors' account without routing through the broker's pool account.
B) Asset Management Companies (AMCs) must enter into an agreement with the Exchange/Clearing Corporation to provide this mechanism.
C) Only stock brokers can access the Exchange platform for Mutual Funds; Mutual Fund Distributors are explicitly excluded.
D) Stock brokers are permitted to pool funds in a specific 'Mutual Fund Nodal Account' before transferring to the Clearing Corporation.
E) Funds pay-in is directly received by the clearing corporation from the investor account and funds pay-out is directly made to the investor account.

Solutions: