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

1. Which of the following statements are TRUE regarding the management, accruals, and usage of the Core Settlement Guarantee Fund (Core SGF)? (Select all that apply)

A) Stock Exchanges are allowed to transfer excess contribution made by them from the Core SGF of one CC to the Core SGF of another CC in an inter-operable scenario.
B) Any penalties levied by the Clearing Corporation shall be credited to the Core SGF corpus.
C) Interest on cash contribution to Core SGF accrues to the Clearing Corporation as management fees.
D) The Regulatory Oversight Committee (ROC) of the Clearing Corporation manages the Core SGF.
E) CC contribution to Core SGF is treated as a liability and excluded from its net worth.

2. Regarding Indian Depository Receipts (IDRs) and the regulatory framework for their conversion or redemption into underlying equity shares, which of the following statements accurately reflects the permissible conditions?

A) The headroom for conversion is calculated based on the total paid-up capital of the issuing company rather than the specific number of IDRs issued.
B) Redemption is permitted immediately upon listing, provided the fungibility is restricted to one-way conversion from IDRs to shares only.
C) Two-way fungibility is strictly prohibited; investors can only convert underlying shares into IDRs but cannot redeem IDRs into shares.
D) Redemption is permitted after 1 year from the date of listing, subject to available headroom calculated as originally issued IDRs minus outstanding IDRs adjusted for redemptions.
E) Investors can request redemption into underlying shares at any time, but the underlying shares must be held by a domestic custodian registered with SEBI.

3. When a stock broker's collateral utilization breaches the specific percentage (currently 90%), the 'Risk Reduction Mode' is triggered. Which of the following operational restrictions and conditions apply during this mode? (Select all that apply)

A) Client and Custodial Participant code modification is permitted to rectify errors.
B) Non-margined orders are accepted without restriction to maintain liquidity.
C) Fresh orders placed by the member to reduce the open position will be accepted.
D) Only orders with 'Immediate or Cancel' (IOC) attribute are permitted.
E) All unexecuted orders shall be cancelled immediately.

4. While institutional trades generally do not attract upfront margins, specific categories of institutional investors are subject to upfront margining similar to non-institutional trades. Identify the category from the list below.

A) Category I Foreign Portfolio Investors (Sovereign Wealth Funds)
B) Insurance Companies registered with IRDAI
C) Mutual Funds registered with SEBI
D) Category II FPIs who are corporate bodies, individuals, or family offices
E) Public Financial Institutions defined under the Companies Act

5. In the context of determining the 'venue and seat' of online proceedings for a dispute between an individual investor and a listed company/intermediary, which location is deemed to be the venue and seat?

A) The High Court jurisdiction where the listed company is registered.
B) The registered office of the ODR Institution administering the dispute.
C) The location of the SEBI Regional Office nearest to the investor.
D) The location where the Market Infrastructure Institution (Mll) is headquartered.
E) The place where the investor resides permanently.

Solutions: