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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. As per the SEBI International Financial Services Centres (IFSC) guidelines, 2015, which of the following types of securities and products are permitted for dealing on the stock exchanges operating in the IFSC? (Select all that apply)

A) Debt securities issued by eligible issuers
B) REITs and InviTs
C) Currency and interest rate derivatives
D) Equity shares of a company incorporated outside India
E) Depository receipts

2. In the context of the Indian Money Market, issuers must adhere to specific credit rating requirements to issue Commercial Paper (CP).
What is the minimum credit rating required from a Credit Rating Agency (CRA) for the issuance of CPs?

A) AAA
B) A1
C) A3
D) BBB
E) A2

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

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

5. To enable the validation of Pay-In instructions by Depositories, what is the specific role and timeline mandated for Clearing Corporations (CCs) in this process?

A) CCs shall transfer the securities from the client account to the pool account directly without Depository intervention.
B) CCs must approve every individual transfer instruction manually before execution on the settlement day.
C) CCs must validate the ISINs in the client account against the Exchange master list on T-1 day.
D) CCs must generate a physical delivery instruction slip for every client obligation by T+1 morning.
E) CCs shall provide client-wise net delivery obligations on T day to the depositories.

Solutions: