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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Clearing Members are required to maintain specific demat accounts known as 'Clearing Member Settlement Pool Accounts' with depositories. Which of the following statements accurately describes the legal and operational nature of the securities held in these pool accounts?

A) Securities in the pool account are automatically pledged to the Clearing Corporation as margin and cannot be delivered until unpledged.
B) The Clearing Member obtains full ownership rights over the securities in the pool account to facilitate settlement.
C) Corporate action benefits for securities held in the pool account are retained by the Clearing Member as operational fees.
D) The Clearing Member does not get any ownership or beneficiary rights over the shares held in these accounts; they are strictly for settlement delivery and receipt.
E) Clients cannot transfer shares directly into the Clearing Member's pool account; they must transfer to a beneficiary account first.

2. Which of the following items are mandated contributions by the Stock Exchange to the Investor Protection Fund (IPF) according to SEBI guidelines? (Select all that apply)

A) At least 20% of the listing fees received.
B) 100% of the interest earned on the 1% security deposit kept by issuer companies (immediately on refund).
C) Penalties collected from listed companies for non-compliance with LODR Regulations.
D) Penalty collected from Trading Members for deficiency in modification of client code.
E) 1% of the listing fees received, on a quarterly basis.

3. In the context of clearing membership on a Stock Exchange, identify the member category that possesses only clearing rights (no trading rights) and is authorized to clear and settle trades executed by both trading members and custodian participants.

A) Professional Clearing Member (PCM)
B) Trading cum Self-clearing Member (SCM)
C) Authorized Person (AP)
D) Trading Member-cum-Clearing Member (TCM)
E) Trading Member (TM)

4. Which of the following scenarios is explicitly EXEMPT from the mandatory periodic settlement of running accounts for funds?

A) Clients trading in the derivatives segment only.
B) Clients who have logged into their trading account at least once in the last 30 days.
C) High Net Worth Individuals (HNls) who have provided a written waiver.
D) Clients who have a credit balance of less than Rs. 1 lakh.
E) Institutional clients settling trades through custodians.

5. Which of the following statements accurately describe the rules and procedures for **Dividend Adjustment** in the Equity F&O segment?
(Select all that apply)

A) The revised strike prices due to extra-ordinary dividend are applicable from the record date.
B) Adjustment for extra-ordinary dividend is carried out only on futures contracts, not options.
C) If shareholders in the AGM change the rate declared by the Board, the market price reference changes to the closing price on the day previous to the AGM.
D) In case of extra-ordinary dividend, the total dividend amount is reduced from all strike prices of option contracts.
E) Dividends below 2% of the market value of the underlying stock are deemed ordinary dividends and no adjustment is made.

Solutions: