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

1. Consider the following trading data for Broker 'Y' in Security ABC on a specific trading day:
1. Sold 200 shares @ Rs. 10 to Broker X
2. Bought 50 shares @ Rs. 10.50 from Broker Z
3. Bought 300 shares @ Rs. 11 from Broker X
Calculate the Net Fund Obligation for Broker 'Y' to be settled with the Clearing Corporation.

A) Pay Rs. 1,825
B) Pay Rs. 1,200
C) Receive Rs. 1,575
D) Pay Rs. 3,825
E) Receive Rs. 2,000

2. In the context of the settlement of running accounts for funds, specific rules apply to clients who have been inactive. If a client has a credit balance but has **not executed any transaction in the last 30 calendar days**, how must the Trading Member (TM) handle the settlement?

A) The TM is required to obtain a fresh running account authorization from the client to retain the funds further.
B) The TM must return the entire credit balance on the upcoming settlement date of the monthly running account settlement cycle, irrespective of the client's preference.
C) The TM can continue to retain the funds if the client has opted for a quarterly settlement cycle.
D) The TM can adjust this credit balance against the margin obligations of other clients in the same family group.
E) The TM must transfer the funds to the Investor Protection Fund (IPF) immediately after the 30th day.

3. Which of the following statements accurately reflect the operational requirements and functions of Clearing Members and Custodians in the Clearing Process? (Select all that apply)

A) Clearing Members act as the legal counterparty to all trades through the process of novation, replacing the Clearing Corporation.
B) Clearing Members can withdraw funds from their designated clearing bank account in favor of third-party vendors for operational expenses.
C) Custodians are required to confirm whether they will settle a trade assigned to them; if they fail to confirm, the onus of settlement falls on the executing trading member.
D) Clearing Members must maintain a separate and distinct clearing bank account with a designated clearing bank.
E) It is mandatory for clearing members to open demat accounts with both depositories (CDSL and NSDL) known as clearing member settlement pool accounts.

4. Regarding the netting of settlement obligations for a member trading in both T+1 and T+0 cycles, which of the following statements is operationally correct?

A) Obligations are netted across both cycles to reduce liquidity stress.
B) Securities delivered in T+0 pay-out can be immediately netted against T+1 pay-in obligations for the same day.
C) There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycles.
D) Netting is permitted only for funds, while securities obligations are kept separate.
E) Netting is allowed only if the member opts for the 'Unified Settlement' facility provided by the Clearing Corporation.

5. When a Partnership Firm registered under the Indian Partnership Act, 1932 applies for admission as a member of a Stock Exchange, which specific structural requirement must be identified and maintained as per Exchange norms?

A) All partners must hold NISM Series-VII certification.
B) The firm must maintain a static profit-sharing ratio for 5 years.
C) The applicant must identify a Dominant Promoter Group.
D) A minimum of 51% of capital must be held by a designated clearing bank.
E) The firm must convert to a Limited Liability Partnership within 1 year.

Solutions: