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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Every clearing member is required to maintain a separate primary clearing account with a designated clearing bank. Which of the following operational restrictions applies to this account regarding withdrawals?

A) Withdrawals are strictly prohibited; funds must only be used for settlement obligations.
B) Funds can be withdrawn only in the self-name of the clearing member.
C) Funds can be withdrawn directly to third-party vendor accounts for operational expenses.
D) Funds can be withdrawn only after obtaining a No Objection Certificate (NOC) from the Stock Exchange.
E) Withdrawals are limited to 50% of the account balance on any given day.

2. Stock brokers are required to maintain evidence of clients placing orders to prevent unauthorized trades. Which of the following statements accurately describes the regulatory requirements regarding the forms of evidence and the retention period?

A) Telephone recordings are mandatory only for institutional clients and must be kept for 2 years.
B) Evidence must be physical records only, retained for 5 years.
C) Evidence is optional for internet-based transactions and must be retained for 1 year.
D) Evidence can be physical records, telephone recordings, emails, or SMS logs, and must be retained for a minimum of 3 years.
E) In case of a dispute, records can be disposed of immediately after the broker files a response.

3. According to the SEBI guidelines on Trade Annulment, what is the specific application fee structure that Stock Exchanges must charge for accepting an annulment request from a stock broker?

A) There is no fee for trade annulment if the request is submitted within 30 minutes.
B) 5% of the value of trade(s), subject to a minimum of? 1 lakh and maximum of ? 10 lakhs.
C) 1% of the value of trade(s), subject to a minimum of ? 50,000 and maximum of ? 5 lakhs.
D) 2% of the value of trade(s), with no minimum or maximum cap, credited to the Core Settlement Guarantee Fund.
E) A fixed fee of? 1 lakh irrespective of trade value, credited to the Investor Service Fund.

4. According to the SEBI framework for 'Accredited Investors', which of the following combinations of financial criteria would render an Individual, HUF, or Family Trust eligible to be recognized as an Accredited Investor?

A) Annual Income of INR 1.2 Crore and Net Worth of INR 5.5 Crore, out of which INR 3 Crore is in the form of financial assets.
B) Net Worth of INR 8 Crore, out of which INR 2 Crore is in the form of financial assets.
C) Annual Income of INR 90 Lakhs and Net Worth of INR 10 Crore, out of which INR 3 Crore is in the form of financial assets.
D) Annual Income of INR 1.8 Crore and Net Worth of INR 3 Crore.
E) Net Worth of INR 6 Crore with no specific requirement on financial assets.

5. Which specific regulation defines a 'Clearing Corporation' as an entity established to undertake the activity of clearing and settlement of trades in securities or other instruments dealt on a recognized stock exchange?

A) Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2018
B) Depositories Act, 1996
C) SEBI (Intermediaries) Regulations, 2008
D) Securities Contracts (Regulation) Rules, 1957
E) SEBI (Stock Brokers) Regulations, 1992

Solutions: