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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Which of the following statements accurately reflect the 'Additional Requirements' and operational controls mandated for Internet Based Trading (IBT) and Securities Trading Using Wireless Technology (STWT)? (Select all that apply)

A) Encryption levels for communication are governed solely by the Stock Exchange's internal policy, independent of DOT regulations.
B) The broker system should have on-site as well as remote site back-up capabilities.
C) Brokers using Internet based systems are permitted to cross trades of their clients with each other internally to save transaction costs.
D) The broker shall capture the IP (Internet Protocol) address from where the orders are originating.
E) In case of no activity by the client, the system should provide for automatic trading session logout.

2. In the context of the operations of a Depository Participant (DP), what is identified as the 'main activity' pursuant to the trading activity of an investor?

A) Pledging of dematerialized securities
B) Dematerialization of physical securities
C) Settlement and transfer of securities from one beneficiary account to another
D) Freezing of the demat account for debits or credits
E) Receiving non-cash corporate benefits like bonus shares

3. Section 15A of the SEBI Act, 1992, prescribes penalties for failure to furnish information, returns, or reports. What is the specific penalty liability for a person who fails to furnish such documents within the specified time?

A) Imprisonment for a term which may extend to one year, or with fine, or with both.
B) A fixed penalty of ?5 Lakhs plus ? 10,000 for every day of delay.
C) Not less than ? 10 Lakhs but may extend to ?25 Crore depending on the severity of the failure.
D) A penalty of ?1 Crore irrespective of the duration of the failure.
E) Not less than ? 1 Lakh but may extend to ?1 Lakh for each day during which such failure continues, subject to a maximum of ?1 Crore.

4. The regulations concerning 'Settlement dues' specify the types of funds obligations a clearing member must discharge at the notified time to avoid disciplinary actions. Which of the following combinations correctly represents the scope of these obligations?

A) Settlement dues, Margin money, or Non-settlement dues
B) Margin money and Base Minimum Capital (BMC) deposit only
C) Non-settlement dues and Stamp Duty only
D) Settlement dues and Securities Transaction Tax (STT) only
E) Settlement dues and Transaction charges only

5. The mechanism for the validation of instructions for Pay-In of securities from a client demat account to a Member Pool Account is explicitly NOT applicable to which category of clients?

A) Retail investors using the electronic Delivery Instruction Slip (eDIS) facility.
B) High Net Worth Individuals (HNIs) using Power of Attorney (POA) services.
C) Clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.
D) Non-Resident Indians (NRIs) trading through a designated stock broker.
E) Corporate clients trading in the derivatives segment only.

Solutions: