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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. In the context of the Cash Market segment, how is the role of a 'Custodian' distinct from that of a standard Trading Member regarding the settlement of trades?

A) Custodians settle trades only for retail clients who do not have a valid PAN.
B) Custodians execute trades on the exchange floor but outsource the clearing function to Professional Clearing Members.
C) Custodians act as Clearing Members but not Trading Members; they settle trades on behalf of institutional clients executed through other Trading Members.
D) Custodians automatically guarantee all trades executed by any Trading Member without the need for trade confirmation.
E) Custodians are primarily responsible for the proprietary trading of the Clearing Corporation.

2. To calculate the Adjustment Factor for a **Rights Issue** in the Equity F&O segment, the 'Benefits per share (E)' must first be determined. Which formula correctly represents the calculation of 'E'?

A)

B)

C)

D)

E)

3. 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) Call Money market is meant for overnight lending and borrowing.
B) Term Money market involves lending and borrowing for a period between 15 days and 1 year.
C) 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.
D) Notice Money market involves lending and borrowing for a period between 2 days and 14 days.
E) Commercial Papers (CPs) can be issued for maturities exceeding 1 year.

4. Identify the correct timeline for the 'Auction Pay-in' and 'Auction Pay-out' of securities and funds in the context of the T+1 rolling settlement cycle.

A) Auction Pay-in: T+2; Auction Pay-out: T+3
B) Auction Pay-in: T+2 (Subsequent day); Auction Pay-out: T+2 (Same day)
C) Auction Pay-in: T+1 (Evening); Auction Pay-out: T+2 (Morning)
D) Auction Pay-in: T+3; Auction Pay-out: T+3
E) Auction Pay-in: T+1 (After auction session); Auction Pay-out: T+1 (End of day)

5. Under which of the following circumstances does the Clearing Corporation directly 'Close Out' the shortage WITHOUT conducting an auction session? (Select all that apply)

A) Shortage in delivery of securities under corporate action (e.g., undergoing stock split/bonus).
B) Shortage arising from trades executed in the normal rolling settlement cycle (T+1) for Group I liquid securities.
C) Shortage arising from trades executed in the Block Deal window.
D) Shortage in securities under the Trade for Trade Surveillance (TFTS) category.
E) Shortage arising from trades in the T+0 rolling settlement cycle.

Solutions: