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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. To facilitate members in meeting their pay-in obligations for a subsequent settlement on a day with multiple settlements due to holidays, what specific requirement is imposed on Depositories regarding inter-depository transfers?

A) Depositories must allow transfers only after the pay-out of the subsequent settlement is complete.
B) Depositories must process transfers instantly using the API-based immediate transfer mechanism.
C) Depositories must suspend inter-depository transfers until all settlements for the day are concluded.
D) Depositories shall facilitate inter-depository transfers within one hour and before pay-in for the subsequent settlement begins.
E) Depositories are required to waive the transaction charges for inter-depository transfers executed on such days.

2. For which specific category of clients is the 'Block Mechanism' in the demat account for sale transactions explicitly applicable?

A) Non-Resident Indians (NRIs) dealing through a Portfolio Investment Scheme (PIS).
B) Clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.
C) High Net Worth Individuals (HNIs) trading in the F&O segment.
D) Retail investors using the Application Supported by Blocked Amount (ASBA) facility.
E) Corporate clients trading through a proprietary account of the Trading Member.

3. Every clearing member is required to maintain a separate primary clearing account with a designated clearing bank. Which of the following operational restrictions applies to this account regarding withdrawals?

A) Withdrawals are limited to 50% of the account balance on any given day.
B) Funds can be withdrawn only in the self-name of the clearing member.
C) Funds can be withdrawn directly to third-party vendor accounts for operational expenses.
D) Funds can be withdrawn only after obtaining a No Objection Certificate (NOC) from the Stock Exchange.
E) Withdrawals are strictly prohibited; funds must only be used for settlement obligations.

4. To participate in the trading of mutual fund units through the stock exchange trading platform, a trading member must fulfill specific criteri a. Which of the following combinations accurately represents the mandatory requirements for a trading member to place orders for a specific Mutual Fund Company?

A) Hold an AMFI Registration Number (ARN), pass the relevant NISM certification examination, and register as a distributor with the specific Mutual Fund Company.
B) Register directly with SEBI as an Investment Adviser, hold a valid ARN, and execute a Service Level Agreement with the Clearing Corporation.
C) Be a registered Depository Participant, hold a valid ARN, and have a dedicated Mutual Fund desk with at least two certified employees.
D) Obtain a specific 'MF-Trading' license from the Stock Exchange, maintain a minimum net worth of Rs. 50 Lakhs, and hold a valid ARN.
E) Hold a valid SEBI Registration as a Portfolio Manager, pass the NISM Series-V-A examination, and register with the Association of Mutual Funds in India (AMFI).

5. Regarding the usage of the 'INST' code in the Custodial Participant field during order entry for Foreign Portfolio Investors (FPIs), which of the following statements accurately reflects the restrictions placed on FPIs that are corporate bodies, individuals, or family offices?

A) The 'INST' facility is available, but allocation for such trades is allowed only to related FPIs.
B) They can use the 'INST' code without restriction, provided the allocation is completed by 4:15 PM on T day.
C) They are strictly prohibited from using the 'INST' code and must provide the specific CP code at the time of order entry.
D) They must use a special 'CORP' code instead of 'INST' to differentiate themselves from non-corporate institutional investors.
E) The 'INST' code can be used only if the trade value exceeds INR 10 Crores.

Solutions: