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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. In the event of a failure by a selling broker to deliver securities in the normal T+1 rolling settlement, the Clearing Corporation initiates a
'Close Out' procedure if the auction fails or is not applicable. Consider a scenario where a trade was executed on Monday (T) at Rs. 500.
The auction was scheduled for Tuesday (T+1 ) but no shares were offered. The highest price prevailing across the Exchange from Monday to Tuesday was Rs. 540. The official closing price on Tuesday (Close-out day) was Rs. 550. At what price will the transaction be closed out?

A) Rs. 660 (20% above the official closing price on the close out day)
B) Rs. 550 (Official closing price on Close-out day)
C) Rs. 600 (Highest price + 20% penalty)
D) Rs. 540 (Highest price from T to Close-out day)
E) Rs. 648 (20% above the highest prevailing price)

2. In the context of the validation process for Pay-In of securities from a client's demat account to the Member Pool Account, how do Depositories handle a specific transfer instruction where the quantity specified in the instruction exceeds the client-wise net delivery obligation provided by the Clearing Corporation?

A) The instruction is rejected in its entirety due to the discrepancy in quantity.
B) The instruction is partially processed by the depositories up to the matching obligation quantity.
C) The instruction is kept pending until the Clearing Corporation updates the obligation to match the instruction.
D) The instruction is processed fully, but the excess securities are immediately returned to the client's account by the Clearing Member.
E) The instruction is processed fully, creating an excess balance in the Member Pool Account which is flagged for audit.

3. According to the Securities Contract (Regulation) Rules, 1957, and Exchange norms, which of the following conditions render an entity or person ineligible to be admitted as a member of a Stock Exchange? (Select all that apply)

A) The person is engaged in any business other than Securities involving personal financial liability, without undertaking to sever connections.
B) The person has been convicted of an offence involving fraud or dishonesty.
C) The person has compounded with their creditors for less than full discharge of debts.
D) The person has been adjudged bankrupt or a receiver order in bankruptcy has been made against them.
E) The person is a Limited Liability Partnership registered under the Limited Liability Partnership Act, 2008.

4. Which of the following statements correctly differentiates the operational and regulatory features of 'Triparty Repo' (TREPS) and 'Repo in Corporate Bonds' in the Indian Debt Market?

A) In TREPS, the seller of the security has a right to substitute the security, and funds borrowed are exempted from CRR/SLR computation.
B) Triparty Repo on corporate bonds uses the NDS-OM platform, while Government Securities use the RFQ platform.
C) Settlement for Corporate Bond Repo is guaranteed by the RBI directly, while TREPS is settled bilaterally without a central counterparty.
D) Corporate Bond Repo allows participants to borrow funds against the collateral of their own securities, whereas TREPS prohibits this.
E) In TREPS, the seller cannot substitute the security during the repo period, whereas in Corporate Bond Repo, substitution is mandatory.

5. With the validation of instructions for Pay-In of securities from Client demat account to Member Pool Account, what action do Depositories take if the quantity in the transfer instruction is more than the obligation provided by the Clearing Corporation (CC)?

A) The instruction is processed for the full quantity, and excess is returned by the Member.
B) The instruction is partially processed by the depositories up to the matching obligation quantity.
C) The instruction is completely rejected.
D) The instruction is processed only if the client provides a specific indemnity bond.
E) The instruction is held in pending status until the Member confirms the additional quantity.

Solutions: