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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Which of the following instruments allow Indian companies to raise resources from international capital markets?

A) Indian Depository Receipts (IDRs)
B) Masala Bonds
C) External Commercial Borrowings (ECBs)
D) Global Depository Receipts (GDRs)
E) Foreign Currency Convertible Bonds (FCCBs)

2. Regarding the maintenance and preservation of books of account and other records by stock brokers, which of the following statements accurately reflects the regulatory requirements under the Securities Contracts (Regulation) Rules, 1957 (SCRR) and SEBI Regulations?

A) Books must be maintained in physical form only for a minimum of 5 years; electronic records are optional.
B) Books must be preserved for 5 years; if originals are seized by an enforcement agency, they must be preserved (originals or copies) until the trial is completed.
C) Books must be preserved for 10 years if the broker is involved in algorithmic trading.
D) Books must be preserved for 3 years; seized originals need not be tracked once handed over to agencies.
E) Books must be preserved for 8 years in alignment with the Companies Act, regardless of SEBI regulations.

3. Which of the following items are mandated contributions by the Stock Exchange to the Investor Protection Fund (IPF) according to SEBI guidelines? (Select all that apply)

A) 1% of the listing fees received, on a quarterly basis.
B) Penalty collected from Trading Members for deficiency in modification of client code.
C) Penalties collected from listed companies for non-compliance with LODR Regulations.
D) 100% of the interest earned on the 1% security deposit kept by issuer companies (immediately on refund).
E) At least 20% of the listing fees received.

4. Clearing Members are required to open specific demat accounts known as 'Clearing Member Settlement Pool Accounts' with depositories. Which of the following statements is legally and operationally ** TRUE** regarding these accounts?

A) Clients are prohibited from transferring shares directly into the member's pool account; all transfers must route through the Exchange.
B) The clearing member acquires full beneficiary ownership rights over the securities transferred into this account.
C) These accounts are strictly used for holding the member's long-term proprietary investments to separate them from client assets.
D) The clearing member does not get any ownership or beneficiary rights over the shares held in these accounts.
E) Credits to this account are not permitted; it is used solely for delivering securities to the Clearing Corporation.

5. Based on the classification of membership in the Indian securities market, which of the following categories of members holds both trading and clearing rights but is explicitly restricted from clearing trades for custodian participants?

A) Professional Clearing Member (PCM)
B) Only Trading Member
C) Trading Member-cum-Clearing Member (TCM)
D) Authorized Person
E) Trading cum Self-Clearing Member (SCM)

Solutions: