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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Periodic settlement of running accounts is mandatory for most clients. However, under which of the following specific circumstances is the periodic settlement of funds **NOT** necessary to the extent of funds involved?

A) For High Net Worth Individuals (HNIs) who have provided a 'Do Not Settle' instruction.
B) For clients trading in the derivatives segment with open positions, even if they have excess free cash.
C) For Non-Resident Indian (NRI) clients dealing through the Portfolio Investment Scheme (PIS).
D) For clients who have a credit balance of less than Rs. 10,000.
E) For clients availing Margin Trading Facility (MTF), to the extent of funds/securities relating to MTF used by the client.

2. Select the correct statements regarding the regulations governing the modification of Client Codes and Custodial Participant (CP) Codes for trades executed on Indian Stock Exchanges. (Select all that apply)

A) Modification between client codes of two unrelated institutional clients will be subject to penalty.
B) Shifting of trades to the 'error account' of the broker is not treated as modification of client code, provided the trades are subsequently liquidated.
C) Members can modify the Custodial Participant (CP) Code on the T+1 day until 11 AM.
D) Stock Exchanges may allow modifications of client codes of non-institutional trades only to rectify a genuine error in entry of client code.
E) Proprietary trades can be modified as client trades and vice versa if the request is made within 45 minutes of trade execution.

3. When a Partnership Firm registered under the Indian Partnership Act, 1932 applies for admission as a member of a Stock Exchange, which specific structural requirement must be identified and maintained as per Exchange norms?

A) The firm must convert to a Limited Liability Partnership within 1 year.
B) A minimum of 51% of capital must be held by a designated clearing bank.
C) The firm must maintain a static profit-sharing ratio for 5 years.
D) All partners must hold NISM Series-VII certification.
E) The applicant must identify a Dominant Promoter Group.

4. Which of the following statements accurately reflect the nature and regulation of 'Research Reports' provided by stock brokers? (Select all that apply)

A) Brokers are exempt from SEBI regulations when providing research reports if they are also registered as Merchant Bankers.
B) Brokerage houses must comply with SEBI (Research Analysts) Regulation, 2014.
C) Research reports normally educate investors about industry trends and which company scrips to buy, sell, or hold.
D) Research advice and recommendations can be delivered online or via SMS.
E) Sector reports focus solely on the financial statements of a single company without considering industry policies.

5. In the T+1 rolling settlement cycle for institutional trades involving a Custodian, what is the specific deadline for the 'Obligation Transfer Request (OTR)' for trades where the 'INST' code was used?

A) 9:00 AM on T+1 Day
B) 4:15 PM on T Day
C) 11:00 AM on T+1 Day
D) 7:30 AM on T+1 Day
E) 8:00 PM on T Day

Solutions: