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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Regarding the execution of transfer instructions, under what condition is a Depository Participant (DP) permitted to register the transfer of securities from a beneficial owner's account?

A) Based on a standing instruction from the Stock Exchange for all accounts
B) Only on receipt of instructions from the beneficial owner and thereafter confirming the same to the beneficial owner
C) Whenever the account balance falls below the minimum required balance
D) Immediately upon receipt of a market rumour regarding the security
E) Upon implied consent derived from the client's trading pattern

2. If a selling broker fails to deliver securities, the Clearing Corporation conducts an auction. If this auction remains unresolved because there are no sellers (Auction Fail), the transaction is subject to a 'Close out'. How is the close-out price calculated to compensate the buyer in such a scenario?

A) At the average weighted trade price of the security during the last 5 trading sessions plus brokerage and statutory levies.
B) At the standard valuation price determined by the Clearing Corporation on the T+1 pay-in day.
C) At the closing price of the securities on the auction day plus a fixed penalty of 5%.
D) At the highest price recorded on the exchange on the trade day only, irrespective of subsequent price movements.
E) At the highest price prevailing across the exchange from the day of trading up to the auction day OR 20% above the official closing price on the auction day, whichever is higher.

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) 2% of the value of trade(s), with no minimum or maximum cap, credited to the Core Settlement Guarantee Fund.
B) There is no fee for trade annulment if the request is submitted within 30 minutes.
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. Select the correct statements regarding the regulations and procedures governing the auction of securities and handling of proceeds by the Clearing Corporation. (Select all that apply)

A) The auction for undelivered quantities can be held multiple times for the same settlement until the full quantity is procured.
B) Any amount remaining from the proceeds of an Auction or Close-out, after settling the aggrieved party's claim, is credited to the Core Settlement Guarantee Fund (Core SGF).
C) The members participating in the auction session as sellers are required to deliver the shares to the Clearing Corporation on or before the auction pay-in day, which is the subsequent day.
D) If the auction seller fails to deliver on the auction pay-in day, the deal is closed out at the standard valuation price of the T+1 day.
E) In no case shall the auction be held beyond a period of one week from the pay-in day of the settlement in which the contract was entered into.

5. Which of the following statements accurately describe the principles and methodology for Corporate Actions Adjustment in the Equity F&O segment? (Select all that apply)

A) The basis for adjustment is that the value of the position on the cum-date and ex-date shall continue to remain the same as far as possible.
B) For Bonus issues, the new strike price is arrived at by multiplying the old strike price by the adjustment factor.
C) The adjustments for corporate actions would be carried out on all open positions.
D) Adjustments for corporate actions are carried out only on positions that are In-The-Money (ITM); OTM positions are left unadjusted.
E) Adjustments may entail modifications to Strike Price, Position, and Market Lot I Multiplier.

Solutions: