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NISM NISM-Series-VII Exam Syllabus Topics:

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

Question 1

Which of the following scenarios is explicitly EXEMPT from the mandatory periodic settlement of running accounts for funds?

A. Clients trading in the derivatives segment only.
B. High Net Worth Individuals (HNls) who have provided a written waiver.
C. Clients who have logged into their trading account at least once in the last 30 days.
D. Clients who have a credit balance of less than Rs. 1 lakh.
E. Institutional clients settling trades through custodians.

Question 2

In the context of 'Settlement of Account of Clients who have not traded in the last 30 days', how must a Trading Member (TM) handle a client's credit balance if the client has not executed any transaction for 30 calendar days?

A. The TM must obtain a fresh Running Account Authorization from the client to continue holding the funds.
B. The TM must return the entire credit balance to the client on the upcoming settlement dates of the monthly running account settlement cycle, irrespective of the client's preference.
C. The TM must transfer the funds to the Investor Protection Fund (IPF) after 30 days of inactivity.
D. The TM can continue to hold the funds until the next quarterly settlement date preferred by the client.
E. The TM is allowed to retain funds up to Rs. 50,000 for administrative charges and return the rest.

Question 3

A claim against a defaulter trading member is received by the Stock Exchange after three years from the date of expiry of the specified period for lodging claims. How is such a claim categorized under the IPF guidelines?

A. It is eligible for 50% of the compensation limit applicable to timely claims.
B. It may be dealt with as a civil dispute.
C. It is automatically rejected and cannot be pursued in any forum.
D. It is treated as a priority claim but paid only after all timely claims are settled.
E. It is referred to the SEBI Complaints Redressal System (SCORES) for arbitration.

Question 4

Apart from the primary clearing account, a Clearing Member is permitted to maintain an 'additional clearing account' with a designated clearing bank. For what specific operational purposes is this additional account utilized?

A. For the purpose of enhancement of collateral in the form of cash and providing early pay-in of funds.
B. For separating proprietary trading funds from client funds.
C. For receiving dividend payments from listed companies on behalf of clients.
D. For settlement of commodities derivatives trades only.
E. For collecting brokerage and statutory levies from clients.

Question 5

Under the SEBI guidelines regarding the monitoring of unauthenticated news by market intermediaries, what is the mandatory protocol for an employee who receives market-related news via their personal mail or blog?

A. The employee must verify the accuracy of the news with at least two independent sources before forwarding.
B. The employee is strictly prohibited from accessing personal mail or blogs on office premises.
C. The employee should forward the news to clients immediately with a disclaimer stating it is unverified.
D. The news should be forwarded only after the same has been seen and approved by the Compliance Officer.
E. The employee must report the sender of the news to the Financial Intelligence Unit (FIIJ) within 24 hours.

Solutions: