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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. In the context of risk management for the T+0 settlement cycle, how are securities shortages handled if a selling member fails to deliver shares?

A) Security shortages are directly closed out at 10% above the highest price of the day across all exchanges for the T+0 market.
B) By conducting an auction session on T+0 day at 2:30 PM.
C) By imposing a standard valuation debit of 20% above the closing price.
D) By conducting an auction session on T+1 day along with the regular market auction.
E) The trade is annulled, and the buyer is refunded the transaction amount without penalty.

2. A corporate stock broker with a net worth of Rs. 10 Crore wishes to offer the margin trading facility (MTF) to its clients. According to SEBI regulations, what is the maximum limit on the broker's total indebtedness for the purpose of margin trading and the maximum allowable exposure towards MTF?

A) Total Indebtedness: Rs. 50 Crore; Maximum Exposure: Borrowed Funds + Rs. 5 Crore
B) Total Indebtedness: Rs. 30 Crore; Maximum Exposure: Borrowed Funds + Rs. 10 Crore
C) Total Indebtedness: Rs. 100 Crore; Maximum Exposure: 5 times Net Worth
D) Total Indebtedness: Rs. 20 Crore; Maximum Exposure: Rs. 50 Crore
E) Total Indebtedness: Rs. 50 Crore; Maximum Exposure: Borrowed Funds + Rs. 10 Crore

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

4. In the case of a declaration of 'extra-ordinary' dividend by a company, how is the adjustment applied to the Futures contracts on that stock?

A) The market lot of the futures contract is increased in proportion to the dividend yield.
B) All open positions shall be carried forward at the daily settlement price less the dividend amount.
C) No adjustment is made to futures contracts; adjustments are applicable only to option strike prices.
D) The futures contract is compulsorily closed out and a new contract is introduced at the ex-dividend price.
E) The total dividend amount is added to the Daily Settlement Price.

5. Which of the following statements accurately reflect the nature and regulation of 'Research Reports' provided by stock brokers? (Select all that apply)

A) Research reports normally educate investors about industry trends and which company scrips to buy, sell, or hold.
B) Brokers are exempt from SEBI regulations when providing research reports if they are also registered as Merchant Bankers.
C) Brokerage houses must comply with SEBI (Research Analysts) Regulation, 2014.
D) Sector reports focus solely on the financial statements of a single company without considering industry policies.
E) Research advice and recommendations can be delivered online or via SMS.

Solutions: