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

1. 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

2. According to RBI guidelines for issuance, which of the following combinations correctly specifies the minimum denomination, maturity range, and minimum credit rating required for a Commercial Paper (CP)?

A) ? 1 lakh and multiples thereof; 15 days to 1 year; Rating 'A2'
B) ?5 lakh and multiples thereof; 7 days to 1 year; Rating 'A3'
C) ?5 lakh and multiples thereof; 15 days to 3 years; Rating 'A3'
D) ?25 lakh and multiples thereof; 30 days to 1 year; Rating 'A1'
E) ? 10 lakh and multiples thereof; 7 days to 1 year; Rating 'AA'

3. In the process of Auction of Securities, if the auction or close-out results in proceeds that exceed the claim of the aggrieved party (buyer), how is the remaining amount treated?

A) It is transferred to the Investor Protection Fund (IPF) of the Exchange.
B) It is shared equally between the Clearing Corporation and the aggrieved party.
C) It is credited to the Core Settlement Guarantee Fund (Core SGF).
D) It is retained by the Clearing Corporation as administrative charges.
E) It is refunded to the defaulting selling member.

4. Regarding the payment of upfront margin by a clearing member to the Clearing Corporation, which of the following statements accurately describes the timing and method of collection?

A) Margins are collected only in the form of cash equivalents deposited with the Clearing Bank.
B) Margins are adjusted from the liquid assets of a clearing member on a real-time basis.
C) Margins are calculated weekly and adjusted against the Base Minimum Capital.
D) Margins are collected at the end of the trading day via a debit to the settlement account.
E) Margins are collected on T+1 day before the pay-in of funds.

5. Under the SCORES 2.0 framework, if a complainant is dissatisfied with the resolution provided by the entity and requests a first review, the Designated Body (DB) may seek clarification from the entity. What is the specific timeline mandated for the Designated Body to submit the revised Action Taken Report (ATR) to the complainant after seeking such clarification?

A) Within 7 calendar days of the review sought
B) Within 10 calendar days of the review sought
C) Within 15 calendar days of the review sought
D) Within 21 calendar days of the review sought
E) Within 30 calendar days of the review sought

Solutions: