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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. In the context of corporate actions adjustment for * *Bonus, Stock Splits, and Consolidations** in the Equity F&O segment, how are the New Strike Price and New Market Lot determined relative to the Adjustment Factor?

A) New Strike Price = Old Strike Price + Adjustment Factor; New Market Lot = Old Market Lot - Adjustment Factor
B) New Strike Price = Old Strike Price / Adjustment Factor; New Market Lot = Old Market Lot / Adjustment Factor
C) New Strike Price = Old Strike Price Adjustment Factor; New Market Lot = Old Market Lot Adjustment Factor
D) New Strike Price =Old Strike Price Adjustment Factor; New Market Lot = Old Market Lot / Adjustment Factor
E) New Strike Price = Old Strike Price / Adjustment Factor; New Market Lot = Old Market Lot Adjustment Factor

2. In the context of Back Office Operations, specifically regarding 'Trade Enrichment', which of the following best describes the process that occurs automatically after trade execution to prepare for clearing and settlement?

A) The generation of a unique client code (IJCC) and mapping it to the client's PAN before the order is routed to the exchange.
B) The netting of buy and sell positions to determine the final open position for the purpose of margin calculation.
C) The splitting of a single institutional order into multiple sub-accounts based on deal sheets provided by the front office.
D) The automatic appending of brokerage rates, GST, stamp duty, and Securities Transaction Tax (STT) to the raw trade data.
E) The manual verification of the 'INST' Custodial Participant code against the clearing member's exposure limits.

3. Regarding the operational timeline for the auction of securities by the Clearing Corporation under the compulsory rolling settlement, which of the following statements is accurate?

A) If an auction is not successful in the first attempt, it is automatically rescheduled for the next three consecutive days.
B) Members participating in the auction must deliver the shares immediately within 1 hour of acceptance of their offer.
C) Auctions are held exclusively during the pre-open session of the next trading day.
D) The auction for undelivered quantities is conducted on the settlement day itself, typically after the completion of the pay-out process.
E) Auctions are conducted on the T+2 day to allow members extra time to arrange securities.

4. A financial services firm applies for registration as a Portfolio Manager. They nominate Mr. X as the Principal Officer. Mr. X holds a professional qualification in finance from a recognized university. Regarding his experience, which of the following conditions MUST he satisfy to meet the eligibility criteria?

A) Experience of at least 5 years in related activities in the securities market, including at least 2 years in portfolio management or investment advisory services or fund management.
B) Experience of at least 7 years in related activities in the securities market, with no specific requirement for portfolio management experience.
C) Experience of at least 2 years in related activities in the securities market if he holds a CFA charter.
D) Experience of at least 3 years in related activities in the securities market, with at least 1 year in portfolio management.
E) Experience of at least 5 years strictly as a stock broker or dealer in the equity derivatives segment.

5. Which of the following instruments is specifically defined as a rupee-denominated bond issued outside India by Indian entities to raise money in local currency from foreign investors?

A) Masala Bonds
B) Indian Depository Receipts (IDRs)
C) Global Depository Receipts (GDRs)
D) American Depository Receipts (ADRs)
E) Foreign Currency Convertible Bonds (FCCBs)

Solutions: