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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. If a selling broker fails to deliver securities, the Clearing Corporation conducts an auction. If this auction remains unresolved because there are no sellers (Auction Fail), the transaction is subject to a 'Close out'. How is the close-out price calculated to compensate the buyer in such a scenario?

A) At the standard valuation price determined by the Clearing Corporation on the T+1 pay-in day.
B) At the average weighted trade price of the security during the last 5 trading sessions plus brokerage and statutory levies.
C) At the highest price recorded on the exchange on the trade day only, irrespective of subsequent price movements.
D) At the highest price prevailing across the exchange from the day of trading up to the auction day OR 20% above the official closing price on the auction day, whichever is higher.
E) At the closing price of the securities on the auction day plus a fixed penalty of 5%.

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

3. 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 review by the Investor Service Centre of the nearest Stock Exchange within 30 days.
B) A single-level review conducted directly by the Securities Appellate Tribunal (SAT).
C) A mandatory arbitration process initiated automatically upon dissatisfaction.
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.

4. In the context of the securities market structure, identifying the correct classification of an issue is critical for regulatory compliance. If an issuer raises resources by issuing shares to a select group of persons rather than the general public, how is this issuance technically classified?

A) Rights Issue
B) Initial Public Offer (IPO)
C) Bonus Issue
D) Private Placement
E) Follow on Public Offer (FPO)

5. When a Partnership Firm registered under the Indian Partnership Act, 1932 applies for admission as a member of a Stock Exchange, which specific structural requirement must be identified and maintained as per Exchange norms?

A) A minimum of 51% of capital must be held by a designated clearing bank.
B) The applicant must identify a Dominant Promoter Group.
C) The firm must maintain a static profit-sharing ratio for 5 years.
D) The firm must convert to a Limited Liability Partnership within 1 year.
E) All partners must hold NISM Series-VII certification.

Solutions: