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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 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.

2. In the case of a **Demerger** where the conditions for re-introducing derivative contracts on the post-restructured company are met, what happens to the *existing* derivative contracts on the pre-restructured company?

A) They continue to trade with adjusted strike prices until the original expiry date.
B) All existing contracts of the security shall be expired on the last cum date.
C) They are automatically converted into contracts of the resultant demerged entity based on the demerger ratio.
D) They are suspended for 3 days and re-listed with new lot sizes on the ex-date.
E) They are cash-settled immediately at the average price of the last 6 months.

3. When a delivery shortage is identified before the auction is conducted, the Clearing Corporation debits the clearing member by an amount equivalent to the securities not delivered, valued at a specific price. What is this pre-auction debit transaction formally called?

A) Valuation Debit
B) Shortage Collateral Block
C) Auction Entry Fee
D) Close-out Penalty
E) Provisional Margin Call

4. Which of the following statements are TRUE regarding the management, accruals, and usage of the Core Settlement Guarantee Fund (Core SGF)? (Select all that apply)

A) The Regulatory Oversight Committee (ROC) of the Clearing Corporation manages the Core SGF.
B) Any penalties levied by the Clearing Corporation shall be credited to the Core SGF corpus.
C) Interest on cash contribution to Core SGF accrues to the Clearing Corporation as management fees.
D) CC contribution to Core SGF is treated as a liability and excluded from its net worth.
E) Stock Exchanges are allowed to transfer excess contribution made by them from the Core SGF of one CC to the Core SGF of another CC in an inter-operable scenario.

5. 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)

Solutions: