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

1. Economic efficiency in the securities market is often described by the 'decoupling' of activities. Which of the following best explains the economic impact of this decoupling as defined in the source?

A) It restricts the allocation of savings to government-backed securities only.
B) It eliminates the need for financial intermediaries in the transfer of resources.
C) It ensures that savers and investors are constrained by the economy's abilities rather than their individual abilities.
D) It allows savers to directly manage the administrative operations of the issuer.
E) It mandates that investors must possess surplus funds equal to the issuer's total capital.

2. Stock brokers bring out regular research reports for their clients. Which of the following is NOT explicitly listed in the NISM workbook as a type of research report typically provided by brokers?

A) Fundamental Research
B) Special Reports to cater to needs of some investors
C) High-Frequency Arbitrage Reports
D) Stock Research
E) Daily/weekly/fortnightly/monthly newsletters

3. While most delivery shortages in compulsory rolling settlements are handled via auction, certain cases result in a direct close-out. For which of the following scenarios is the auction mechanism NOT conducted, and the trade is directly closed out?

A) Shortages caused by a technical glitch in the broker's back-office software.
B) Shortages arising from institutional trades where the custodian has rejected the trade.
C) Shortages in A-Group liquid securities with high trading volume.
D) Shortages where the quantity is less than 500 shares.
E) Shortages in securities that are under 'Trade for Trade' category or currently under corporate action.

4. In the context of the Cash Market segment, how is the role of a 'Custodian' distinct from that of a standard Trading Member regarding the settlement of trades?

A) Custodians automatically guarantee all trades executed by any Trading Member without the need for trade confirmation.
B) Custodians act as Clearing Members but not Trading Members; they settle trades on behalf of institutional clients executed through other Trading Members.
C) Custodians are primarily responsible for the proprietary trading of the Clearing Corporation.
D) Custodians settle trades only for retail clients who do not have a valid PAN.
E) Custodians execute trades on the exchange floor but outsource the clearing function to Professional Clearing Members.

5. Periodic settlement of running accounts is mandatory for most clients. However, under which of the following specific circumstances is the periodic settlement of funds **NOT** necessary to the extent of funds involved?

A) For High Net Worth Individuals (HNIs) who have provided a 'Do Not Settle' instruction.
B) For clients who have a credit balance of less than Rs. 10,000.
C) For Non-Resident Indian (NRI) clients dealing through the Portfolio Investment Scheme (PIS).
D) For clients trading in the derivatives segment with open positions, even if they have excess free cash.
E) For clients availing Margin Trading Facility (MTF), to the extent of funds/securities relating to MTF used by the client.

Solutions: