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

1. Since auction sessions are not applicable under the T+0 settlement cycle, how are securities shortages handled by the Clearing Corporation?

A) Shortages are carried forward to the T+1 auction session conducted on the next day.
B) Shortages are settled by borrowing securities from the Securities Lending and Borrowing (SLB) segment automatically.
C) Shortages are directly closed out at above the highest price of the day across all exchanges for the T+0 market.
D) Shortages are directly closed out at a rate of 20% above the official closing price of the T+1 market.
E) Shortages are deemed as 'bad delivery' and the trade is annulled immediately.

2. Regarding the handling of 'Funded Stocks' purchased under the Margin Trading Facility (MTF), which of the following operational procedures is mandated for the Stock Broker (Trading Member)?

A) Funded stocks must be transferred to a 'Client Unpaid Securities Pledgee Account' and disposed of within 5 days if payment is not received.
B) Funded stocks should be held in a separate 'Client Collateral Account' and can be re-pledged to the Clearing Corporation for other clients' margin obligations.
C) Funded stocks must be transferred to the client's beneficiary account immediately without any pledge.
D) Funded stocks must be kept in the broker's 'Pool Account' until the client makes full payment.
E) Funded stocks must be transferred to the client's demat account followed by the creation of an auto-pledge in favor of the broker's 'Client Securities under Margin Funding Account'.

3. An investor wishes to lodge a complaint against a registered intermediary on the SCORES platform. Under the current limitation period guidelines, which of the following scenarios would likely lead to SEBI reserving the right to reject the complaint?

A) The complaint is lodged immediately after the intermediary provided an unsatisfactory reply.
B) The complaint is lodged within 6 months from the date the intermediary rejected the initial grievance.
C) The investor has approached the intermediary, but received no communication, and the cause of action is 8 months old.
D) The date of the cause of action is more than one year old.
E) The investor has already initiated arbitration proceedings for the same matter.

4. Select the correct statements regarding the online risk management system capabilities that a broker must possess for Middle Office Operations. (Select all that apply)

A) The system should strictly allow order modification only after trade execution is confirmed by the back office.
B) The system must maintain separate ledgers for proprietary and client trades but need not monitor them in real-time.
C) The system must have on-line real-time risk management for all orders placed on the exchange trading system.
D) Only orders within parameters like Order Quantity, Value Limits, and Price Limits should be pushed to the exchange.
E) The system should have the capability to generate reports relating to margin requirements and delivery obligations.

5. In the context of the clearing and settlement ecosystem, the Clearing Corporation assumes the role of a legal counterparty to all trades executed on the Stock Exchange. What is the specific legal term for this process where the original contract between the buyer and seller is replaced by two new contracts with the Clearing Corporation?

A) Subrogation
B) Arbitration
C) Adjudication
D) Indemnification
E) Novation

Solutions: