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

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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. When a Partnership Firm registered under the Indian Partnership Act, 1932 applies for admission as a member of a Stock Exchange, which specific structural requirement must be identified and maintained as per Exchange norms?

A) The firm must convert to a Limited Liability Partnership within 1 year.
B) The firm must maintain a static profit-sharing ratio for 5 years.
C) All partners must hold NISM Series-VII certification.
D) A minimum of 51% of capital must be held by a designated clearing bank.
E) The applicant must identify a Dominant Promoter Group.

2. Stock brokers are required to report specific transactions to the Financial Intelligence Unit - India (FIU-IND) under the Prevention of Money Laundering Act. Which of the following combinations correctly specifies the submission timelines for the Cash Transaction Report (CTR), Suspicious Transaction Report (STR), and Non-Profit Organization Transaction Report (NTR)?

A) CTR: By 1 5th of succeeding month; STR: Within 24 hours of conclusion; NTR: By 30th of succeeding month.
B) CTR: By 7th of succeeding month; STR: Within 3 days of conclusion; NTR: By 7th of succeeding month.
C) CTR: By 10th of succeeding month; STR: Within 7 days of occurrence; NTR: By 10th of succeeding month.
D) CTR: By 15th of succeeding month; STR: Within 7 days of arriving at a conclusion; NTR: By 15th of succeeding month.
E) CTR: By end of the quarter; STR: Within 15 days of conclusion; NTR: By end of the quarter.

3. Regarding 'Two-factor authentication' for login sessions in Internet Based Trading (IBT), which of the following implementation details is explicitly advisable/required?

A) Two-factor authentication is optional and can be replaced by a static high-complexity password.
B) It should be implemented using only SMS-based OTP without any other factor.
C) The second factor must always be biometric verification.
D) Public Key Infrastructure (PKI) based implementation using digital signatures is advisable, and the two factors should not be the same.
E) The two factors should be identical (e.g., two different passwords).

4. Which of the following instruments is specifically defined as a rupee-denominated bond issued outside India by Indian entities to raise money in local currency from foreign investors?

A) Masala Bonds
B) American Depository Receipts (ADRs)
C) Global Depository Receipts (GDRs)
D) Indian Depository Receipts (IDRs)
E) Foreign Currency Convertible Bonds (FCCBs)

5. When implementing the recommended Web Interfaces and Protocols between a Trading Web Server and Trading Client Terminals for IBT, which technical standards are suggested for adoption?

A) POP3 and IMAP protocols
B) WAP 1.0 and WML only
C) FTP Ver 2 or above and SMTP
D) Telnet and Gopher protocols
E) HTTP Ver 4 or above and HTML Ver 4/XML

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