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

1. A 'Self Auction' mechanism is utilized to address 'Internal Shortages'. Which of the following scenarios best describes an internal shortage that necessitates this specific procedure?

A) The depository fails to transfer shares from the client beneficiary account to the pool account due to a system glitch.
B) A member fails to deliver securities to the Clearing Corporation because of a shortfall in the Clearing Member Pool Account.
C) A selling client fails to deliver shares to the member, but the member has no net obligation to the Clearing Corporation due to an offsetting purchase by another client of the same member.
D) A member utilizes client securities for proprietary trading resulting in a shortage during a surprise audit.
E) A member shorts a stock in the derivatives segment but holds the physical stock in the cash segment.

2. A corporate stock broker with a net worth of Rs. 10 Crore wishes to offer the margin trading facility (MTF) to its clients. According to SEBI regulations, what is the maximum limit on the broker's total indebtedness for the purpose of margin trading and the maximum allowable exposure towards MTF?

A) Total Indebtedness: Rs. 20 Crore; Maximum Exposure: Rs. 50 Crore
B) Total Indebtedness: Rs. 100 Crore; Maximum Exposure: 5 times Net Worth
C) Total Indebtedness: Rs. 50 Crore; Maximum Exposure: Borrowed Funds + Rs. 5 Crore
D) Total Indebtedness: Rs. 30 Crore; Maximum Exposure: Borrowed Funds + Rs. 10 Crore
E) Total Indebtedness: Rs. 50 Crore; Maximum Exposure: Borrowed Funds + Rs. 10 Crore

3. To increase efficiency and reduce the time duration from issue closure to listing, a new timeline was introduced for public issues opening on or after December 1, 2023. What is this mandated timeline for listing?

A) T+2 days
B) T+5 days
C) T+1 days
D) T+3 days
E) T+6 days

4. Under the 'Block Mechanism' in demat accounts for sale transactions, what is the specific operational protocol regarding the movement and unblocking of shares if the sale transaction is **not** executed on the trade day (T day)?

A) Shares continue to remain in the client's demat account and will be unblocked at the end of the T day.
B) Shares are automatically transferred to the Trading Member's pool account and returned to the client on T+1 day.
C) Shares are transferred to the Clearing Corporation's settlement pool and returned only after the auction session on T+1 .
D) Shares are debited from the client's account and held in a suspense account by the Depository until the next trading session.
E) Shares remain blocked until the client explicitly submits a cancellation instruction via the depository participant.

5. According to the provisions regarding 'Settlement dues', if a clearing member fails to discharge their funds obligations at the notified time, which of the following liabilities or actions may they face? (Select all that apply)

A) Disciplinary actions
B) Immediate forfeiture of the member's personal assets
C) Withdrawal of trading facility
D) Automatic transfer of the member's clearing bank account to the Investor Protection Fund
E) Actions as decided by the Relevant Authority

Solutions: