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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) Netting of delivery obligations is strictly for the purpose of settlement.
B) Clearing Corporations continue to maintain segment-wise default waterfalls.
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) Investors whose Trading Member clears trades through different Clearing Corporations for Cash and F&O are eligible for netting.
E) Securities Transaction Tax (STT) is computed on the final netted obligation to avoid double taxation.

2. Regarding the operation of the 'Clearing Bank Account' maintained by a Clearing Member, which of the following operational restrictions is explicitly mandated to ensure the account is used exclusively for clearing and settlement operations?

A) Funds can be deposited only via Demand Drafts and withdrawn only via electronic transfer.
B) Clearing members can deposit funds in any form but can withdraw funds from these accounts only in self-name.
C) Clearing members are prohibited from depositing proprietary funds into this account; only client funds are permitted.
D) Withdrawals are permitted only after obtaining a 'No Objection Certificate' from the Clearing Corporation for each transaction.
E) The account must maintain a minimum balance equal to the Base Minimum Capital (BMC) at all times.

3. In the context of handling settlements during holidays, specific provisions are made regarding the utilization of assets received from a prior settlement. How is the pay-out from the first settlement treated in relation to subsequent obligations?

A) It is automatically converted into liquid assets and pledged to the Core Settlement Guarantee Fund.
B) It is locked in the member's pool account for 24 hours to prevent misuse.
C) The cash or securities pay out from the first settlement shall be made available to the member for meeting his pay-in obligations for the subsequent settlement(s).
D) It must be transferred to the client's beneficiary account immediately and cannot be used for subsequent proprietary obligations.
E) It is returned to the Clearing Corporation to cover potential shortfalls in the subsequent settlement's auction.

4. Direct Market Access (DMA) allows specific clients to access the exchange trading system through the broker's infrastructure. Which of the following is a specific characteristic or requirement of the DMA facility as per SEBI guidelines?

A) Brokers provide DMA to clients using the broker's proprietary trading codes instead of client codes.
B) Investment managers acting on behalf of institutional clients are prohibited from using DMA.
C) It allows execution of client orders without manual intervention by the broker, offering advantages like faster execution and reduced risk of errors.
D) It is available to all retail investors without specific authorization.
E) It requires manual intervention by the broker for every order to ensure risk compliance.

5. Which of the following statements accurately describe the operational aspects of the Beta version of T+0 rolling settlement cycle introduced by SEBI? (Select all that apply)

A) An auction session will be conducted on T+0 day itself for any securities shortage.
B) There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycles.
C) Security shortages shall be directly closed out at 10% above the highest price of the day across all exchanges for T+0 market.
D) Pay-in for T+0 sell obligations is allowed only by way of early pay-in using the block mechanism.
E) Trading timings for the T+0 session are from 09:15 AM to 3:30 PM.

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