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NISM NISM-Series-VII Exam Syllabus Topics:

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

Question 1

Regarding the execution of a 'Delivery Instruction Slip' (DIS) for debiting a beneficiary account in a depository, which of the following conditions is **MANDATORY** for the instruction to be processed?

A. The execution date on the DIS cannot be a future date; it must be the same as the submission date.
B. The DIS must clearly indicate whether the trade is an 'off-market' trade or a 'market' trade.
C. The DIS must be signed only by the primary holder in case of joint accounts.
D. The DIS must be physically submitted even if the client has enabled electronic DIS facilities.
E. The DIS must be counter-signed by a SEBI registered official.

Question 2

In the context of the T+1 rolling settlement cycle for the Cash Segment, by what specific time must the custodial confirmation of trades be completed on the T+1 day to ensure the timely determination of final obligations by the Clearing Corporation?

A. By 7:30 AM on T+1 Day
B. By 1:30 PM on T+1 Day
C. By 4:15 PM on T Day
D. By 11:00 AM on T+1 Day
E. By 9:00 AM on T+1 Day

Question 3

Transfer of securities from one account to another within the depository system may be done for which of the following purposes?
(Select all that apply)

A. Transfer arising out of transmission of securities.
B. Transfer arising out of a transaction done on a recognized Stock Exchange.
C. Transfer for the purpose of evading Stamp Duty.
D. Transfer arising out of account closure.
E. Transfer due to an 'off-market' transaction (person-to-person).

Question 4

A Clearing Member (CM) maintains a designated clearing account with a Clearing Bank. While the CM is permitted to deposit funds into this account in any form, which of the following specific restrictions is imposed on the withdrawal of funds from this account to ensure regulatory compliance?

A. Withdrawals are restricted to 50% of the account balance on any given trading day.
B. Funds can be withdrawn only in 'self-name' of the Clearing Member.
C. Funds can be withdrawn directly to the client's beneficiary bank account to facilitate faster payout.
D. Funds can be withdrawn only after obtaining a 'No Objection Certificate' from the Stock Exchange.
E. Funds can be withdrawn only via physical Demand Drafts and not through electronic transfer.

Question 5

Which of the following statements accurately describe the regulatory and operational framework regarding Clearing Banks and Clearing Members? (Select all that apply)

A. Clearing Members are permitted to withdraw funds from their clearing accounts in favor of third-party beneficiaries.
B. Additional clearing accounts may be maintained for the specific purpose of enhancing collateral in the form of cash.
C. Clearing Banks are responsible for determining the final net settlement obligations of the Clearing Members.
D. Every clearing member must maintain a separate and distinct primary clearing account for each segment.
E. Clearing Members must irrevocably authorize the Clearing Bank to allow the Clearing Corporation to access their accounts for debiting and crediting.

Solutions: