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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 company announces a Bonus Issue in the ratio of A:B, specific adjustments are made to the Strike Price, Market Lot, and Position of Equity F&O contracts. Which of the following formulas correctly represents the Adjustment Factor used for these calculations?

A) A / (A + B)
B) (A - B) / B
C) (A + B) / B
D) (A * B) / (A + B)
E) B / (A + B)

2. In the process of disbursing compensation from the Investor Protection Fund (IPF) in case of a defaulter Trading Member (TM), which body is responsible for the 'sanction and ratification' of claims before they are sent to the IPF Trust?

A) The Defaulters' Committee
B) The Member Committee (MC)
C) The Governing Board of the Exchange
D) The Investor Grievance Redressal Committee (IGRC)
E) The Disciplinary Action Committee (DAC)

3. In the Clearing Process for Derivatives, how is a Trading Member's (TM) open position calculated for the purpose of exposure and daily margin?

A) Sum of Proprietary Net Position and Client Net Positions (netted across all clients).
B) Sum of Proprietary Open Position, Client Open Long Position, and Client Open Short Position.
C) Gross of all buy and sell transactions without any netting at contract level.
D) Net of Proprietary Position and Client Positions (Buy - Sell for the entire firm).
E) Higher of the Proprietary Position or the sum of Client Positions.

4. A stock broker intends to expand their business scope by offering Portfolio Management Services (PMS) and functioning as a Depository Participant. According to the regulatory framework for 'Other Services Provided by Brokers', which of the following statements accurately reflects the registration requirement for these additional services?

A) The existing stock broker registration with SEBI is comprehensive and covers all financial services including PMS and Depository services.
B) The broker must obtain separate registration/licenses from SEBI for each of the specific services like PMS and Depository services.
C) Registration is only required with the Stock Exchange for PMS, while Depository services require SEBI registration.
D) These services can be offered under a general 'Investment Advisory' license without specific product registration.
E) The broker needs to convert into a Non-Banking Financial Company (NBFC) to offer these services, but no separate SEBI registration is needed.

5. In the context of clearing membership on a Stock Exchange, identify the member category that possesses only clearing rights (no trading rights) and is authorized to clear and settle trades executed by both trading members and custodian participants.

A) Professional Clearing Member (PCM)
B) Trading cum Self-clearing Member (SCM)
C) Authorized Person (AP)
D) Trading Member-cum-Clearing Member (TCM)
E) Trading Member (TM)

Solutions: