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

1. Under which of the following circumstances does the Clearing Corporation directly 'Close Out' the shortage WITHOUT conducting an auction session? (Select all that apply)

A) Shortage arising from trades executed in the Block Deal window.
B) Shortage arising from trades executed in the normal rolling settlement cycle (T+1) for Group I liquid securities.
C) Shortage in delivery of securities under corporate action (e.g., undergoing stock split/bonus).
D) Shortage arising from trades in the T+0 rolling settlement cycle.
E) Shortage in securities under the Trade for Trade Surveillance (TFTS) category.

2. According to RBI guidelines for issuance, which of the following combinations correctly specifies the minimum denomination, maturity range, and minimum credit rating required for a Commercial Paper (CP)?

A) ?5 lakh and multiples thereof; 7 days to 1 year; Rating 'A3'
B) ?25 lakh and multiples thereof; 30 days to 1 year; Rating 'A1'
C) ? 1 lakh and multiples thereof; 15 days to 1 year; Rating 'A2'
D) ? 10 lakh and multiples thereof; 7 days to 1 year; Rating 'AA'
E) ?5 lakh and multiples thereof; 15 days to 3 years; Rating 'A3'

3. Regarding the handling of 'Funded Stocks' purchased under the Margin Trading Facility (MTF), which of the following operational procedures is mandated for the Stock Broker (Trading Member)?

A) Funded stocks must be transferred to the client's beneficiary account immediately without any pledge.
B) Funded stocks should be held in a separate 'Client Collateral Account' and can be re-pledged to the Clearing Corporation for other clients' margin obligations.
C) Funded stocks must be transferred to the client's demat account followed by the creation of an auto-pledge in favor of the broker's 'Client Securities under Margin Funding Account'.
D) Funded stocks must be kept in the broker's 'Pool Account' until the client makes full payment.
E) Funded stocks must be transferred to a 'Client Unpaid Securities Pledgee Account' and disposed of within 5 days if payment is not received.

4. The Money Market in India comprises various segments based on the tenor and type of instrument. Which of the following statements correctly describe the features of these segments/instruments? (Select all that apply)

A) Term Money market involves lending and borrowing for a period between 15 days and 1 year.
B) Notice Money market involves lending and borrowing for a period between 2 days and 14 days.
C) Commercial Papers (CPs) can be issued for maturities exceeding 1 year.
D) Certificate of Deposits (CDs) issued by All India Financial Institutions can have a maturity period not less than 1 year and not exceeding 3 years.
E) Call Money market is meant for overnight lending and borrowing.

5. 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) Contain: Localise containment of crisis and isolate trusted functions from untrusted ones to continue business operations.
B) Evolve: To change business functions and its supporting cyber capabilities to minimize adverse impacts 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) Recover: Continue essential business functions at times of adversary attacks.

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