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

1. Stock brokers are required to maintain evidence of clients placing orders to prevent unauthorized trades. Which of the following statements accurately describes the regulatory requirements regarding the forms of evidence and the retention period?

A) Evidence is optional for internet-based transactions and must be retained for 1 year.
B) Telephone recordings are mandatory only for institutional clients and must be kept for 2 years.
C) In case of a dispute, records can be disposed of immediately after the broker files a response.
D) Evidence can be physical records, telephone recordings, emails, or SMS logs, and must be retained for a minimum of 3 years.
E) Evidence must be physical records only, retained for 5 years.

2. Regarding the utilization of interest or income received out of investments made from the Investor Protection Fund (IPF), which of the following statements accurately reflects the regulatory mandate for ploughing back funds into the corpus?

A) At least 50% of the interest or income must be ploughed back, while the remaining 50% can be used for administrative expenses.
B) At least 70% of interest or income from IPF received every year shall be ploughed back to IPF.
C) 100% of the interest or income received every year must be strictly used for settling claims and cannot be reinvested.
D) Only the interest earned on the security deposit of the issuer companies is ploughed back; other income is free for use.
E) The entire interest income must be transferred to the Investor Services Fund (ISF) annually.

3. In the process of disbursing compensation from the Investor Protection Fund (IPF) in case of a defaulter Trading Member (TM), which body is responsible for the 'sanction and ratification' of claims before they are sent to the IPF Trust?

A) The Defaulters' Committee
B) The Governing Board of the Exchange
C) The Member Committee (MC)
D) The Investor Grievance Redressal Committee (IGRC)
E) The Disciplinary Action Committee (DAC)

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

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

5. Under the 'Direct Pay-out' of securities framework mandated by SEBI, to which category of clients is this facility not applicable?

A) Non-Resident Indians (NRIs) dealing through a Portfolio Investment Scheme (PIS)
B) High Net-worth Individuals (HNls)
C) Clients having arrangements with custodians registered with SEBI for clearing and settlement
D) Qualified Stock Brokers' proprietary trading accounts
E) Retail Individual Investors

Solutions: