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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Which of the following statements accurately describe the features and conditions of the 'Net Settlement of Cash segment and Futures & Options (F&O) segment upon expiry of stock derivatives'? (Select all that apply)

A) Investors whose Trading Member clears trades through different Clearing Corporations for Cash and F&O are eligible for netting.
B) Securities Transaction Tax (STT) is computed on the final netted obligation to avoid double taxation.
C) The benefit of netting is available to non-institutional Custodial Participants (CPs) clearing through the same entity registered both as a custodian in cash and as a CM in F&O.
D) Netting of delivery obligations is strictly for the purpose of settlement.
E) Clearing Corporations continue to maintain segment-wise default waterfalls.

2. In the context of a stock broker's Middle Office operations, which of the following scenarios best illustrates the manifestation of Credit Risk as defined in the risk management framework?

A) Disruption in settlement systems causing a crisis of confidence among investors.
B) Risk arising from loans extended to group companies or debit balances of clients.
C) Loss resulting from the breakdown of internal controls leading to unauthorized trading.
D) Loss arising from the concentration of client collateral in a specific sector that experiences a sharp price decline.
E) The possibility that a counterparty contract cannot be enforced due to lack of proper authority.

3. While most delivery shortages in compulsory rolling settlements are handled via auction, certain cases result in a direct close-out. For which of the following scenarios is the auction mechanism NOT conducted, and the trade is directly closed out?

A) Shortages caused by a technical glitch in the broker's back-office software.
B) Shortages arising from institutional trades where the custodian has rejected the trade.
C) Shortages in securities that are under 'Trade for Trade' category or currently under corporate action.
D) Shortages in A-Group liquid securities with high trading volume.
E) Shortages where the quantity is less than 500 shares.

4. Why are Institutional Investors (including Foreign Portfolio Investors) explicitly excluded from the mechanism of Net Settlement of cash segment and physical settlement of F&O segment upon expiry?

A) Because their trading volumes are too high to be accommodated in a net settlement process.
B) Because they are subject to different tax treaties which prevent segment-wise netting.
C) Because they trade through Custodians who do not have clearing rights in the F&O segment.
D) Because they are not required to pay margins in the F&O segment.
E) Because the extant regulatory framework specifies that all transactions by institutional investors in the cash market should be backed by delivery.

5. For the purpose of identifying an 'extra-ordinary' dividend (which triggers adjustment in Equity F&O), the declared dividend must be at and above 2% of the market value of the underlying stock. How is this 'market price' specifically defined for the calculation?

A) The closing price of the scrip on the record date fixed for the purpose of dividend payment.
B) The volume-weighted average price (VWAP) of the scrip on the cum-dividend date.
C) The closing price of the scrip on the date of the Annual General Meeting (AGM) where the dividend is approved.
D) The average closing price of the scrip for the last 5 trading days prior to the record date.
E) The closing price of the scrip on the day previous to the date on which the announcement of the dividend is made by the Company after the Board meeting.

Solutions: