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

1. Under the SEBI (Prohibition of Insider Trading) Regulations, 2015, which of the following parties is deemed to be a 'Connected Person' unless the contrary is established?

A) A shareholder holding 5% interest in the company.
B) A vendor supplying office stationery on a one-off basis.
C) A banker of the company.
D) An individual who has never held a position in the company.
E) A former employee who left the company 12 months prior to the act.

2. Regarding the 'Default Waterfall' in the context of the Net Settlement mechanism for Cash and F&O segments, which of the following statements is correct?

A) The Core Settlement Guarantee Fund (SGF) of the F&O segment is utilized first for any default arising from the net settlement obligation.
B) Clearing Corporations continue to maintain segment-wise default waterfalls, and losses are computed on the basis of segment-wise obligations on a pro-rata basis.
C) Clearing Corporations create a unified single default waterfall covering both segments to match the merged settlement.
D) Default losses are covered solely by the Investor Protection Fund (IPF) in the case of net settlement defaults.
E) The default waterfall is triggered only after liquidating the defaulting member's proprietary assets across all exchanges.

3. A registered Trading Member desires to clear and settle trades executed by them on their own account as well as for their clients. However, they specifically do not intend to clear trades for 'Custodial Participants'. Which category of membership on the Clearing Corporation corresponds strictly to these operational rights and limitations?

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

4. Under the framework for 'Demat Debit and Pledge Instruction' (DDPI), which replaces the Power of Attorney (POA) for specific purposes, for which of the following activities is the use of DDPI strictly limited to?

A) Opening a new beneficial owner account or a broking facility with another stock broker.
B) Execution of off-market trades between parties other than the related parties.
C) Transfer of securities to the demat account of the Trading Member for margin purposes (title transfer).
D) Transfer of securities held in the beneficial owner accounts of the client towards Stock Exchange related deliveries or settlement obligations.
E) Transfer of funds from the bank account of the client to the stock broker's settlement account for meeting margin requirements.

5. Stock Exchanges are required to maintain Investor Service Centres (ISCs) to assist investors. Which of the following facilities is mandatorily required to be provided at all ISCS according to SEBI guidelines?

A) A library containing all annual reports of listed companies for the last 10 years.
B) A banking counter for immediate disbursement of Investor Protection Fund claims.
C) Arbitration and appellate arbitration facility including video-calling facility.
D) A direct hotline to the Ministry of Finance.
E) A dedicated legal aid clinic with free lawyers for filing civil suits.

Solutions: