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

1. Periodic settlement of running accounts is mandatory for most clients. However, under which of the following specific circumstances is the periodic settlement of funds **NOT** necessary to the extent of funds involved?

A) For clients trading in the derivatives segment with open positions, even if they have excess free cash.
B) For Non-Resident Indian (NRI) clients dealing through the Portfolio Investment Scheme (PIS).
C) For High Net Worth Individuals (HNIs) who have provided a 'Do Not Settle' instruction.
D) For clients availing Margin Trading Facility (MTF), to the extent of funds/securities relating to MTF used by the client.
E) For clients who have a credit balance of less than Rs. 10,000.

2. The Clearing Corporation performs three main functions: clearing, settlement, and risk management. Which of the following statements accurately defines the specific scope of the 'clearing' function?

A) It is the process of collecting margins and maintaining the Core Settlement Guarantee Fund.
B) It involves the handling of exceptional situations like auction settlement and bad delivery.
C) It is the two-way process which involves the actual transfer of funds and securities on the settlement date.
D) It is the mechanism of linking multiple depositories to facilitate inter-depository transfers.
E) It is the process designed to work out what members are due to deliver and what members are due to receive on the settlement date.

3. Indian Depository Receipts (IDRs) allow foreign companies to raise funds from the Indian securities markets. Which of the following statements accurately reflects the rules regarding the redemption or conversion of IDRs into underlying equity shares?

A) Redemption is permitted immediately upon listing of the IDRs.
B) Redemption/Conversion is permitted after 1 year from the date of listing of the IDRs.
C) Redemption is permitted only after 3 years from the date of listing.
D) Two-way fungibility is strictly prohibited for IDRs.
E) IDRs can only be converted into underlying shares if the issuer is a US-based company.

4. In the context of the 'SEBI Complaints Redress System (SCORES 2.0)', which of the following accurately describes the 'Review' mechanism available to a complainant who is dissatisfied with the resolution provided by the regulated entity?

A) A mandatory arbitration process initiated automatically upon dissatisfaction.
B) A single-level review conducted directly by the Securities Appellate Tribunal (SAT).
C) A review by the Investor Service Centre of the nearest Stock Exchange within 30 days.
D) No review option is available; the complainant must approach the civil court immediately.
E) Two levels of review: First by the 'Designated Body' and Second by SEBI.

5. Which of the following operational parameters and exclusions are correctly associated with the framework for the beta version of the T+0 rolling settlement cycle? (Select all that apply)

A) Trading is not permitted on the Ex-date of securities.
B) Pay-in for sell obligations is allowed only via Early Pay-In using the block mechanism.
C) The price band is fixed at +1-5% relative to the T+1 market price without re-calibration.
D) Pre-Open, Special Pre-Open, and Post close sessions are not applicable.
E) Security shortages are handled through a dedicated auction session on T+0 day.

Solutions: