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

1. Under the SEBI (Infrastructure Investment Trusts) Regulations, 2014, if an InvlT raises funds via private placement, which of the following combinations of 'minimum investment' and 'trading lot' criteria must be met?

A) Minimum Investment: Rs. 10 Lakhs; Trading Lot: 1 Unit
B) Minimum Investment: Rs. 25 Crores; Trading Lot: 1 Unit
C) Minimum Investment: Rs. 10,000; Trading Lot: Rs. 5 Lakhs
D) Minimum Investment: Rs. 50 Lakhs; Trading Lot: Rs. 10 Lakhs
E) Minimum Investment: Rs. 1 Crore; Trading Lot: Rs. 25 Lakhs

2. Stock brokers bring out regular research reports for their clients. Which of the following is NOT explicitly listed in the NISM workbook as a type of research report typically provided by brokers?

A) Daily/weekly/fortnightly/monthly newsletters
B) Fundamental Research
C) Special Reports to cater to needs of some investors
D) High-Frequency Arbitrage Reports
E) Stock Research

3. Under what specific circumstance is a broker or client strictly **prohibited** from unblocking securities that have been blocked in favour of the Clearing Corporation?

A) If the market price of the security increases by more than 5% during the trading day.
B) If the client has an outstanding margin obligation in the derivatives segment.
C) If the Trading Member has not yet transferred the securities to the Clearing Member's pool account.
D) If the Early Pay-In (EPI) benefit has already been provided by the Clearing Corporation to the client for those securities.
E) If the block was created using a physical Delivery Instruction Slip (DIS) instead of eDlS.

4. In the event of holidays affecting the settlement schedule, Clearing Corporations (CCs) follow specific guidelines to ensure smooth settlement. Which of the following statements accurately describes the procedure for sequential settlement and inter-depository transfers?

A) Depositories must facilitate inter-depository transfers within one hour and before the pay-in for the subsequent settlement begins.
B) CCs prioritize the settlement with the highest value regardless of the chronological order of trade dates.
C) The pay-out from the first settlement is blocked for 24 hours and cannot be used for the subsequent settlement's pay-in.
D) Settlements are postponed to the next working week to ensure all banks are operational.
E) CCs club multiple settlements into a single netted obligation to avoid sequential processing delays.

5. For Futures Contracts on Individual Securities, which price is used as the 'Final Settlement Price' on the last trading day?

A) The theoretical price calculated using the cost of carry model.
B) The closing price of the futures contract on the expiry day.
C) The weighted average price of the underlying security during the last 30 minutes of trading.
D) The closing price of the relevant underlying security in the Capital Market Segment across exchanges.
E) The last traded price (LTP) of the underlying security on the primary exchange.

Solutions: