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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Select the correct statements regarding the operational features and requirements of the **Block Mechanism ** for Early Pay-in (EPI) transactions. (Select all that apply)

A) In case of unmatched orders, the Clearing Corporation uploads the cancellation of Block instruction on T+1 day.
B) The facility of block mechanism is mandatory for all Early Pay-In transactions.
C) Pool to Pool transfers of securities are permitted between any two Trading Members under this mechanism.
D) Securities can be blocked by the client using the depository's online system, eDIS mandate, or physical DIS.
E) Depositories provide transfer instruction details (UCC, TM ID, etc.) to CCs to enable clients to avail EPI benefits.

2. In the context of the 'Application Supported by Blocked Amount' (ASBA) facility processed by intermediaries in public issues, what is the critical pre-condition explicitly mandated by SEBI before the ASBA applications can be processed?

A) The application monies must be blocked in the investor's bank account.
B) The physical form must be received by the Registrar.
C) The syndicate member must issue a physical acknowledgement slip.
D) The application must be uploaded to the Exchange bidding platform.
E) The General Index Register (GIR) number must be verified.

3. While Equity Derivatives generally follow a T+1 settlement cycle for daily and final settlement, which specific segment has a Final Settlement cycle of T+2 basis?

A) Index Futures
B) Currency Derivatives
C) Stock Options (Physical Settlement)
D) Index Options
E) Interest Rate Futures

4. When a delivery shortage is identified before the auction is conducted, the Clearing Corporation debits the clearing member by an amount equivalent to the securities not delivered, valued at a specific price. What is this pre-auction debit transaction formally called?

A) Shortage Collateral Block
B) Close-out Penalty
C) Auction Entry Fee
D) Valuation Debit
E) Provisional Margin Call

5. The Money Market in India comprises various segments based on the tenor and type of instrument. Which of the following statements correctly describe the features of these segments/instruments? (Select all that apply)

A) Term Money market involves lending and borrowing for a period between 15 days and 1 year.
B) Notice Money market involves lending and borrowing for a period between 2 days and 14 days.
C) Call Money market is meant for overnight lending and borrowing.
D) Certificate of Deposits (CDs) issued by All India Financial Institutions can have a maturity period not less than 1 year and not exceeding 3 years.
E) Commercial Papers (CPs) can be issued for maturities exceeding 1 year.

Solutions: