NISM National Institute of Securities Markets NISM-Series-VII

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

1. What is the primary benefit of 'Interoperability' among Clearing Corporations for a Clearing Member (CM)?

A) It mandates the CM to maintain separate settlement accounts for each Exchange, thereby segregating risk.
B) It allows the CM to act as a Custodian for institutional clients without separate registration.
C) It allows the CM to execute trades on the Exchange without maintaining a Base Minimum Capital.
D) It guarantees that the CM will receive interest on the cash component of the Core Settlement Guarantee Fund.
E) It enables the CM to select a single Clearing Corporation to clear and settle trades executed on multiple stock exchanges.

2. Based on the 'Cyber Security and Cyber Resilience Framework (CSCRF)' for Stock Brokers, which of the following correctly match the 'Cyber Resiliency Goals' with their definitions? (Select all that apply)

A) Evolve: To change business functions and its supporting cyber capabilities to minimize adverse impacts of adversary attacks.
B) Recover: Continue essential business functions at times of adversary attacks.
C) Withstand: Restore business functions to the maximum extent subsequent to adversary attacks.
D) Anticipate: Maintain a state of informed preparedness from adversary attacks.
E) Contain: Localise containment of crisis and isolate trusted functions from untrusted ones to continue business operations.

3. Regarding the execution of a 'Delivery Instruction Slip' (DIS) for debiting a beneficiary account in a depository, which of the following conditions is **MANDATORY** for the instruction to be processed?

A) The DIS must be counter-signed by a SEBI registered official.
B) The DIS must clearly indicate whether the trade is an 'off-market' trade or a 'market' trade.
C) The execution date on the DIS cannot be a future date; it must be the same as the submission date.
D) The DIS must be physically submitted even if the client has enabled electronic DIS facilities.
E) The DIS must be signed only by the primary holder in case of joint accounts.

4. Under the 'Beta version of T+0 rolling settlement cycle on optional basis', which of the following operational parameters regarding trading hours, price bands, and shortage handling is correctly defined?

A) The price band is fixed at +1-5% of the closing price in the regular T+1 market.
B) Netting of pay-in and pay-out obligations is permitted between T+1 and T+0 settlement cycles.
C) Security shortages are handled through an auction session conducted on the same day.
D) Pay-in for T+0 sell obligations is allowed only by way of early pay-in using the block mechanism.
E) The trading session operates continuously from 09:15 AM to 3:30 PM.

5. Cash Management Bills (CMBs) are issued by the Government of India to fund temporary cash flow mismatches. Which of the following correctly identifies their maturity characteristics and trading platform?

A) Maturities between 91 and 182 days; Traded on CROMS
B) Maturities less than 14 days; Traded on OTC market only
C) Maturities less than 91 days; Traded on NDS-OM platform
D) Maturities up to 364 days; Traded on RFQ Platform
E) Maturities of exactly 91 days; Traded on NDS-CALL platform

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