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NISM NISM-Series-VII Exam Syllabus Topics:

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

Question 1

In the context of the settlement mechanism for institutional transactions, if a Custodian rejects a trade allocated to them by a broker, how is the settlement of such a rejected trade processed?

A. The trade is settled through the Delivery Versus Payment (DVP) basis.
B. The trade is annulled by the Stock Exchange immediately.
C. The trade is transferred to the broker's error account for liquidation.
D. The settlement is deferred to T+2 to allow for re-confirmation.
E. The Clearing Corporation settles the trade using the Core Settlement Guarantee Fund.

Question 2

According to the 'Default Waterfall' mechanism for the Core Settlement Guarantee Fund (Core SGF), if a member defaults, which resource is utilized immediately **after** the defaulting member's monies (and insurance) are exhausted, but **before** the Core SGF corpus is accessed?

A. Clearing Corporation resources equal to 5% of the segment MRC.
B. Clearing Member Primary Contribution.
C. Stock Exchange contribution to Core SGF.
D. Capped additional contribution by non-defaulting members.
E. Penalties credited to Core SGF.

Question 3

In the case of a **Demerger** where the conditions for re-introducing derivative contracts on the post-restructured company are met, what happens to the *existing* derivative contracts on the pre-restructured company?

A. They are suspended for 3 days and re-listed with new lot sizes on the ex-date.
B. All existing contracts of the security shall be expired on the last cum date.
C. They continue to trade with adjusted strike prices until the original expiry date.
D. They are cash-settled immediately at the average price of the last 6 months.
E. They are automatically converted into contracts of the resultant demerged entity based on the demerger ratio.

Question 4

What is the primary operational mandate for Clearing Corporations (CCs) and Depositories to ensure the feasibility of multiple settlements occurring on a single day due to holidays?

A. They shall follow a strict time schedule to ensure that the settlements are completed on the same day.
B. They must extend the settlement cycle to T+2 temporarily.
C. They must operate with reduced staff to minimize coordination errors.
D. They must seek prior approval from SEBI for every individual settlement run.
E. They must implement a separate risk management framework for holiday settlements.

Question 5

When a stock broker's collateral utilization breaches the specific percentage (currently 90%), the 'Risk Reduction Mode' is triggered. Which of the following operational restrictions and conditions apply during this mode? (Select all that apply)

A. Non-margined orders are accepted without restriction to maintain liquidity.
B. Client and Custodial Participant code modification is permitted to rectify errors.
C. Fresh orders placed by the member to reduce the open position will be accepted.
D. All unexecuted orders shall be cancelled immediately.
E. Only orders with 'Immediate or Cancel' (IOC) attribute are permitted.

Solutions: