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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. For Securities Trading using Wireless Technology (STWT), specific operational and security controls are mandated to prevent misuse and ensure compliance. Which of the following statements regarding 'Session Login Details' and 'Server Location' is CORRECT?

A) Session login details can be stored on the device for ease of access; The server can be located anywhere globally.
B) Session login details can be stored if biometric auth is enabled; The server must be located in a Tier-1 city.
C) Session login details should not be stored on the devices; The broker's server routing orders to the exchange trading system shall be located in India.
D) Session login details must be encrypted and stored on the device; The server must be located within the Exchange premises.
E) Session login details should not be stored; The server location is at the discretion of the service provider.

2. Which of the following facilities are normally offered by a stock broker's outlet as part of their diversified services? (Select all that apply)

A) Issuance of Indian Currency
B) Internet-based Online Trading (IBT)
C) Investment advice & Research reports
D) Margin funding
E) Mobile trading & Smart Order Routing (SOR)

3. If a clearing member fails to fulfill the margin obligations, the clearing agency has the authority to initiate disciplinary actions without further notice. Which of the following is explicitly listed as a potential action in such a scenario?

A) Withdrawal of trading facilities and/or clearing facility and close out of outstanding positions.
B) Mandatory conversion of the clearing member to a trading-only member.
C) Permanent cancellation of the certificate of registration.
D) Transfer of client positions to the Investor Protection Fund.
E) Seizure of the member's personal assets outside the clearing system.

4. According to SEBI guidelines regarding the corpus of the Investor Protection Fund (IPF), specific penalties collected by Stock Exchanges contribute to the fund. What is the prescribed quantum of penalty collected from Trading Members (TMs) for default in pay-in by an investor in an Offer For Sale (OFS) transaction that must be credited to the IPF?

A) 1% of the trade value
B) 2% of the order value
C) 20% of the shortage amount
D) 5% of the trade value
E) 10% of the order value

5. According to the framework for the Core Settlement Guarantee Fund (Core SGF), how is the Minimum Required Corpus (MRC) for a segment determined for the upcoming month?

A) It is calculated as 25% of the liquid net worth of the Clearing Corporation plus the total Base Minimum Capital collected from members.
B) It is the higher of the average of all daily worst-case loss numbers determined from stress tests of the preceding month and the segment MRC as per the previous review.
C) It is the simple average of the daily stress test losses of the preceding month, capped at 15% of the total open interest.
D) It is fixed annually by SEBI based on the projected volume and turnover of the Clearing Corporation.
E) It is determined by the Risk Management Committee based on the highest single day loss observed in the last one year.

Solutions: