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

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

1. Stock brokers provide various types of research reports to assist investors. Specifically, what content is a 'Sector Research' report expected to cover to help investors in their decision-making process?

A) Mathematical models for algorithmic trading strategies.
B) Detailed technical analysis of stock price movements and volume data for specific scrips.
C) Confidential insider information regarding upcoming mergers and acquisitions.
D) Details on how an industry is faring and whether current policies favour the industry.
E) A comprehensive list of all IPOs expected to hit the market in the next financial year.

2. According to the 'Default Waterfall' mechanism for the Core Settlement Guarantee Fund (Core SGF), if a member defaults, which resource is utilized immediately **after** the defaulting member's monies (and insurance) are exhausted, but **before** the Core SGF corpus is accessed?

A) Stock Exchange contribution to Core SGF.
B) Clearing Member Primary Contribution.
C) Clearing Corporation resources equal to 5% of the segment MRC.
D) Penalties credited to Core SGF.
E) Capped additional contribution by non-defaulting members.

3. Regarding the facility provided by Clearing Corporations to Clearing Members for the pay-in of securities through NSDL/CDSL, which automated mechanism is available to streamline the process?

A) Automatic conversion of physical shares to demat shares on the pay-in date.
B) Automatic debit of the client's bank account for the value of securities short delivered.
C) Auto-pledge of client securities directly to the Clearing Corporation without broker intervention.
D) Delivery-out instructions generated automatically by the Clearing Corporation based on the net delivery obligations of its Clearing Members.
E) Auto-borrowing of securities from the Securities Lending and Borrowing (SLB) platform to meet shortfalls.

4. A clearing member fails to discharge their funds obligations at the notified time. According to the NISM workbook, this failure renders the member liable for specific consequences regarding their operations. Which of the following is explicitly mentioned as a potential liability/action?

A) Immediate transfer of the clearing member's proprietary trades to the Investor Protection Fund.
B) Mandatory liquidation of all client assets held in the pool account.
C) Suspension of the clearing bank's license.
D) Automatic cancellation of the certificate of registration by SEBI.
E) Withdrawal of trading facility.

5. Which of the following statements are TRUE regarding the management, accruals, and usage of the Core Settlement Guarantee Fund (Core SGF)? (Select all that apply)

A) Interest on cash contribution to Core SGF accrues to the Clearing Corporation as management fees.
B) CC contribution to Core SGF is treated as a liability and excluded from its net worth.
C) The Regulatory Oversight Committee (ROC) of the Clearing Corporation manages the Core SGF.
D) Any penalties levied by the Clearing Corporation shall be credited to the Core SGF corpus.
E) Stock Exchanges are allowed to transfer excess contribution made by them from the Core SGF of one CC to the Core SGF of another CC in an inter-operable scenario.

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