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

1. Under what specific circumstance is a broker or client strictly **prohibited** from unblocking securities that have been blocked in favour of the Clearing Corporation?

A) If the Trading Member has not yet transferred the securities to the Clearing Member's pool account.
B) If the block was created using a physical Delivery Instruction Slip (DIS) instead of eDlS.
C) If the Early Pay-In (EPI) benefit has already been provided by the Clearing Corporation to the client for those securities.
D) If the market price of the security increases by more than 5% during the trading day.
E) If the client has an outstanding margin obligation in the derivatives segment.

2. A financial services firm applies for registration as a Portfolio Manager. They nominate Mr. X as the Principal Officer. Mr. X holds a professional qualification in finance from a recognized university. Regarding his experience, which of the following conditions MUST he satisfy to meet the eligibility criteria?

A) Experience of at least 5 years in related activities in the securities market, including at least 2 years in portfolio management or investment advisory services or fund management.
B) Experience of at least 2 years in related activities in the securities market if he holds a CFA charter.
C) Experience of at least 7 years in related activities in the securities market, with no specific requirement for portfolio management experience.
D) Experience of at least 3 years in related activities in the securities market, with at least 1 year in portfolio management.
E) Experience of at least 5 years strictly as a stock broker or dealer in the equity derivatives segment.

3. Identify the trading sessions or mechanisms that are explicitly NOT applicable under the T+0 settlement cycle. (Select all that apply)

A) Continuous Trading Session
B) Pre-open Session
C) Post Close Session
D) Early Pay-in via Block Mechanism
E) Auction Session

4. Which of the following benefits is explicitly granted to 'Accredited Investors' under the 'regulation-light framework'?

A) Complete waiver of KYC documentation requirements
B) Exemption from the lock-in period requirements for pre-IPO holdings
C) Guaranteed allocation in Initial Public Offers (IPOs)
D) Ability to participate in investment products with an investment amount lesser than the minimum amount mandated in respective regulations
E) Exemption from payment of Securities Transaction Tax (STT)

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

Solutions: