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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Based on the classification of membership in the Indian securities market, which of the following categories of members holds both trading and clearing rights but is explicitly restricted from clearing trades for custodian participants?

A) Only Trading Member
B) Authorized Person
C) Trading Member-cum-Clearing Member (TCM)
D) Professional Clearing Member (PCM)
E) Trading cum Self-Clearing Member (SCM)

2. Under the SCORES 2.0 mechanism, complaints are monitored by a 'Designated Body' to ensure timely redressal. Who acts as the Designated Body for complaints lodged against a Stock Broker?

A) The Stock Exchange
B) Securities and Exchange Board of India (SEBI)
C) The Depository (NSDL or CDSL)
D) The Investor Protection Fund Trust
E) The Association of Mutual Funds in India (AMFI)

3. Under the Online Dispute Resolution (ODR) framework, if a Market Participant wishes to initiate dispute resolution against an investor/client through the ODR Portal, which of the following procedural pre-requisites must be strictly fulfilled?

A) The Market Participant must deposit 50% of the disputed amount with the Stock Exchange.
B) The Market Participant can only initiate ODR if the claim value exceeds Rs. 10 Lakhs.
C) The Market Participant must give due notice of at least 15 calendar days to the investor/client for resolution of the dispute.
D) The Market Participant must obtain a 'No Objection Certificate' from SEBI.
E) The Market Participant must wait for a mandatory cooling-off period of 60 days from the date of the transaction.

4. According to the provisions regarding 'Settlement dues', if a clearing member fails to discharge their funds obligations at the notified time, which of the following liabilities or actions may they face? (Select all that apply)

A) Automatic transfer of the member's clearing bank account to the Investor Protection Fund
B) Withdrawal of trading facility
C) Immediate forfeiture of the member's personal assets
D) Actions as decided by the Relevant Authority
E) Disciplinary actions

5. Under the SEBI (Prohibition of Insider Trading) Regulations, 2015, which of the following parties is deemed to be a 'Connected Person' unless the contrary is established?

A) A vendor supplying office stationery on a one-off basis.
B) A former employee who left the company 12 months prior to the act.
C) A shareholder holding 5% interest in the company.
D) An individual who has never held a position in the company.
E) A banker of the company.

Solutions: