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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Indian Depository Receipts (IDRs) allow foreign companies to raise funds from the Indian securities markets. Which of the following statements accurately reflects the rules regarding the redemption or conversion of IDRs into underlying equity shares?

A) Redemption/Conversion is permitted after 1 year from the date of listing of the IDRs.
B) Redemption is permitted immediately upon listing of the IDRs.
C) Redemption is permitted only after 3 years from the date of listing.
D) IDRs can only be converted into underlying shares if the issuer is a US-based company.
E) Two-way fungibility is strictly prohibited for IDRs.

2. Under the SCORES 2.0 mechanism, complaints are monitored by a 'Designated Body' to ensure timely redressal. Who acts as the Designated Body for complaints lodged against a Stock Broker?

A) Securities and Exchange Board of India (SEBI)
B) The Association of Mutual Funds in India (AMFI)
C) The Investor Protection Fund Trust
D) The Depository (NSDL or CDSL)
E) The Stock Exchange

3. For un-expired illiquid futures contracts on an individual security, how is the Daily Settlement Price determined by the Clearing Corporation?

A) It is the weighted average price of the contract during the last half an hour of trading.
B) It is determined by the FIMMDA / FBIL reference rate.
C)

D) It is based on the closing price of the underlying security in the Capital Market Segment.
E) It is fixed at the previous day's settlement price adjusted for the risk-free interest rate.

4. Stock brokers are required to report specific transactions to the Financial Intelligence Unit - India (FIU-IND) under the Prevention of Money Laundering Act. Which of the following combinations correctly specifies the submission timelines for the Cash Transaction Report (CTR), Suspicious Transaction Report (STR), and Non-Profit Organization Transaction Report (NTR)?

A) CTR: By end of the quarter; STR: Within 15 days of conclusion; NTR: By end of the quarter.
B) CTR: By 7th of succeeding month; STR: Within 3 days of conclusion; NTR: By 7th of succeeding month.
C) CTR: By 10th of succeeding month; STR: Within 7 days of occurrence; NTR: By 10th of succeeding month.
D) CTR: By 1 5th of succeeding month; STR: Within 24 hours of conclusion; NTR: By 30th of succeeding month.
E) CTR: By 15th of succeeding month; STR: Within 7 days of arriving at a conclusion; NTR: By 15th of succeeding month.

5. Direct Market Access (DMA) allows specific clients to access the exchange trading system through the broker's infrastructure. Which of the following is a specific characteristic or requirement of the DMA facility as per SEBI guidelines?

A) It requires manual intervention by the broker for every order to ensure risk compliance.
B) It allows execution of client orders without manual intervention by the broker, offering advantages like faster execution and reduced risk of errors.
C) Brokers provide DMA to clients using the broker's proprietary trading codes instead of client codes.
D) It is available to all retail investors without specific authorization.
E) Investment managers acting on behalf of institutional clients are prohibited from using DMA.

Solutions: