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

1. Which of the following statements correctly reflect the regulatory framework and operational guidelines for the trading of Mutual Fund units on Stock Exchange Platforms? (Select all that apply)

A) Only stock brokers can access the Exchange platform for Mutual Funds; Mutual Fund Distributors are explicitly excluded.
B) For both demat and non-demat mode transactions, units shall be credited/debited directly to/from the investors' account without routing through the broker's pool account.
C) Stock brokers are permitted to pool funds in a specific 'Mutual Fund Nodal Account' before transferring to the Clearing Corporation.
D) Funds pay-in is directly received by the clearing corporation from the investor account and funds pay-out is directly made to the investor account.
E) Asset Management Companies (AMCs) must enter into an agreement with the Exchange/Clearing Corporation to provide this mechanism.

2. Regarding the calculation of the settlement date in a T+1 rolling settlement environment, which of the following days are explicitly excluded when determining the T+1 day?

A) Only Exchange trading holidays.
B) Public holidays declared under the Negotiable Instruments Act only.
C) Only days when the Reserve Bank of India (RBI) is closed.
D) Bank holidays, Exchange/Clearing Corporation holidays, Saturdays, and Sundays.
E) Only Saturdays and Sundays.

3. Straight Through Processing (STP) is mandated for institutional trades. Which of the following best describes the operational benefit and definition of STP in the securities trade life cycle?

A) It is a risk management tool used exclusively by the Front Office to block erroneous orders before they reach the exchange.
B) It is a mechanism for retail clients to directly settle trades with the Clearing Corporation.
C) It is a manual process of verifying contract notes against trade logs to ensure accuracy.
D) It involves electronically capturing and processing transactions in one pass, from the point of first 'deal' to final settlement, avoiding manual re-entry.
E) It refers to the process of auctioning securities in case of delivery shortages.

4. Which of the following data fields must match between the transfer instruction and the Clearing Corporation's obligation data for a Pay-In instruction to be considered a 'Matched Instruction' and subsequently executed? (Select all that apply)

A) TM ID (Trading Member ID)
B) UCC (Unique Client Code)
C) CM ID (Clearing Member ID)
D) ISIN (International Securities Identification Number)
E) Client's Bank Account Number

5. According to the regulations governing institutional investors in the Indian Cash Market, which of the following combinations of trading activities is strictly PROHIBITED?

A) Using the 'INST' code for order entry
B) Short selling with mandatory delivery obligation
C) Algorithmic trading using Direct Market Access
D) Day trading (squaring off transactions intra-day)
E) Trading in the Block Deal window

Solutions: