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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 reflect the 'Additional Requirements' and operational controls mandated for Internet Based Trading (IBT) and Securities Trading Using Wireless Technology (STWT)? (Select all that apply)

A) The broker system should have on-site as well as remote site back-up capabilities.
B) The broker shall capture the IP (Internet Protocol) address from where the orders are originating.
C) Brokers using Internet based systems are permitted to cross trades of their clients with each other internally to save transaction costs.
D) Encryption levels for communication are governed solely by the Stock Exchange's internal policy, independent of DOT regulations.
E) In case of no activity by the client, the system should provide for automatic trading session logout.

2. Distinguishing the roles of market segments is vital for understanding capital formation. Which statement correctly identifies the primary interaction dynamic in the Secondary Market compared to the Primary Market?

A) The issuer has direct contact with the investor to raise new capital.
B) The settlement is always done directly between the issuer and the clearing corporation.
C) It ensures availability of adequate capital at reasonable rates for expansion.
D) It is used primarily for Initial Public Offers (IPOs) and Rights Issues.
E) Dealings are strictly between two investors, and the issuer does not come into the picture.

3. Which of the following benefits is explicitly granted to 'Accredited Investors' under the 'regulation-light framework'?

A) Exemption from payment of Securities Transaction Tax (STT)
B) Guaranteed allocation in Initial Public Offers (IPOs)
C) Complete waiver of KYC documentation requirements
D) Exemption from the lock-in period requirements for pre-IPO holdings
E) Ability to participate in investment products with an investment amount lesser than the minimum amount mandated in respective regulations

4. Under the framework for 'Settlement of Account of Clients', specific provisions exist for clients who have not traded for a certain period. If a client has a credit balance but has not executed any transaction in the last 30 calendar days, how must the Trading Member (TM) handle the settlement of funds?

A) The TM is permitted to transfer the funds to the Investor Protection Fund (IPF) if the client remains inactive for more than 30 days.
B) The TM must settle the account within 24 hours of the 30th day of inactivity.
C) The TM can continue to maintain the running account if the credit balance is below ? 10,000.
D) The TM must return the entire credit balance to the client on the upcoming settlement date of the monthly running account settlement cycle, irrespective of the client's preference for a quarterly cycle.
E) The TM must retain the funds until the next quarterly settlement date chosen by the client.

5. Which of the following services can a Depository Participant (DP) engage in, as explicitly listed in the NISM workbook? (Select all that apply)

A) Underwriting of Initial Public Offers (IPOs)
B) Issuing equity research reports for the depository
C) Pledging of dematerialized securities & facilitating loans against shares
D) Freezing of the demat account for debits, credits, or both
E) Receiving electronic credit in respect of securities allotted by issuers under IPO

Solutions: