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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Regarding the calculation of the settlement date in a T+1 rolling settlement environment, which of the following days are explicitly excluded when determining the T+1 day?

A) Only Saturdays and Sundays.
B) Only days when the Reserve Bank of India (RBI) is closed.
C) Public holidays declared under the Negotiable Instruments Act only.
D) Only Exchange trading holidays.
E) Bank holidays, Exchange/Clearing Corporation holidays, Saturdays, and Sundays.

2. In the process of Auction of Securities, if the auction or close-out results in proceeds that exceed the claim of the aggrieved party (buyer), how is the remaining amount treated?

A) It is transferred to the Investor Protection Fund (IPF) of the Exchange.
B) It is shared equally between the Clearing Corporation and the aggrieved party.
C) It is refunded to the defaulting selling member.
D) It is credited to the Core Settlement Guarantee Fund (Core SGF).
E) It is retained by the Clearing Corporation as administrative charges.

3. Under the 'Management or administration of clients portfolio' regulations, what is the specific investment limit for a portfolio manager offering **non-discretionary or advisory services** regarding **unlisted securities**?

A) They may invest up to 50% of the AUM in unlisted securities provided the client is a body corporate.
B) They may invest or provide advice for investment up to 25% of the assets under management of such clients in unlisted securities.
C) They are strictly prohibited from investing or advising on unlisted securities.
D) They may invest 100% of the assets in unlisted securities if the client is a High Net Worth Individual (HNI).
E) They may invest or provide advice for investment up to 10% of the assets under management of such clients in unlisted securities.

4. In the Clearing Process for Derivatives, how is a Trading Member's (TM) open position calculated for the purpose of exposure and daily margin?

A) Gross of all buy and sell transactions without any netting at contract level.
B) Sum of Proprietary Open Position, Client Open Long Position, and Client Open Short Position.
C) Net of Proprietary Position and Client Positions (Buy - Sell for the entire firm).
D) Sum of Proprietary Net Position and Client Net Positions (netted across all clients).
E) Higher of the Proprietary Position or the sum of Client Positions.

5. In the context of the beta version of the T+0 rolling settlement cycle, how is the applicable price band for a security determined and managed relative to the regular T+1 market?

A) It operates with a price band of +50 basis points from the opening price of the T+0 market, without any re-calibration during the session.
B) It mirrors the dynamic price band of the T+1 market exactly, flexing only when the T+1 market hits its circuit limit.
C) It operates with a fixed price band of +/- 5% irrespective of the movement in the T+1 market.
D) It operates with a price band of +100 basis points from the price in the regular T+1 market, re-calibrated after every 50 basis points movement in the underlying T+1 market.
E) It is set at +1- 1% of the previous day's closing price and remains static throughout the trading session 09:15 AM to 3:30 PM.

Solutions: