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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 case of a declaration of 'extra-ordinary' dividend by a company, how is the adjustment applied to the Futures contracts on that stock?

A) All open positions shall be carried forward at the daily settlement price less the dividend amount.
B) The total dividend amount is added to the Daily Settlement Price.
C) The futures contract is compulsorily closed out and a new contract is introduced at the ex-dividend price.
D) The market lot of the futures contract is increased in proportion to the dividend yield.
E) No adjustment is made to futures contracts; adjustments are applicable only to option strike prices.

2. Which of the following statements accurately reflect the regulatory requirements regarding the 'Statement of Accounts' and dispute resolution related to the settlement of funds? (Select all that apply)

A) The actual settlement of funds must be done by the broker at least once in a calendar quarter or month, depending on the client's preference.
B) If a client requests a return of funds lying with the Clearing Corporation, the broker must transfer them within 7 working days.
C) Brokers are permitted to perform inter-client adjustments for the purpose of settlement if the total fund balance at the broker level is sufficient.
D) The Statement of Accounts must contain an extract from the client ledger for funds and the register of securities.
E) Clients must bring any dispute arising from the statement of running account to the notice of the broker within 30 working days from the date of the statement.

3. SEBI has introduced the mechanism of Net Settlement of cash segment and F&O segment upon expiry of stock derivatives. Which of the following scenarios specifically qualifies for this benefit of netting (merged settlements)?

A) An investor whose Trading Member clears trades in F&O segment and cash segment through the same Clearing Member (CM).
B) Portfolio Managers (PMS) who are mandatorily directed to enter into delivery backed transactions.
C) An institutional investor trading through a Custodian in Cash and a Professional Clearing Member in F&O.
D) An investor trading through different Trading Members who use different Clearing Members.
E) All institutional investors including Foreign Portfolio Investors (FPIs).

4. Regarding 'Internal Shortages' within a broker's firm (where a selling client fails to deliver, but the broker has no net obligation to the Clearing Corporation due to an offsetting buy by another client), what is the specific regulatory advice concerning the handling of charges under the 'Direct Pay-out' of securities framework?

A) The broker must buy the shares from the open market on T+2 and can pass on the purchase cost plus a standard brokerage fee to the defaulting client.
B) The broker is mandated to close out the internal shortage at the highest price of the settlement cycle plus a 5% penalty credited to the Investor Protection Fund.
C) The broker must conduct a private auction among its own clients and can charge a facilitation fee not exceeding 1% of the trade value.
D) The broker should handle such shortages through the process of auction as specified by CCs and is advised not to levy any charges on the client over and above the charges levied by the CCs.
E) Internal shortages must be reported to the Exchange, and the trade should be annulled with mutual consent of both clients.

5. Under the framework for 'Segregation and Monitoring of Collateral at Client Level', when the Clearing Corporation (CC) receives a trade from a client account, what is the specific sequential order in which the margin is blocked if the primary source is insufficient?

A) Client Collateral Excess Collateral of other Clients CM Proprietary Collateral
B) TM Proprietary Collateral -> Client Collateral -> CM Proprietary Collateral
C) Client Collateral -> CM Proprietary Collateral -> TM Proprietary Collateral
D) CM Proprietary Collateral TM Proprietary Collateral -> Client Collateral
E) Client Collateral -> TM Proprietary Collateral -> CM Proprietary Collateral

Solutions: