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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Select the correct statements regarding the operational features and requirements of the **Block Mechanism ** for Early Pay-in (EPI) transactions. (Select all that apply)

A) In case of unmatched orders, the Clearing Corporation uploads the cancellation of Block instruction on T+1 day.
B) The facility of block mechanism is mandatory for all Early Pay-In transactions.
C) Depositories provide transfer instruction details (UCC, TM ID, etc.) to CCs to enable clients to avail EPI benefits.
D) Pool to Pool transfers of securities are permitted between any two Trading Members under this mechanism.
E) Securities can be blocked by the client using the depository's online system, eDIS mandate, or physical DIS.

2. Which of the following items are mandated contributions by the Stock Exchange to the Investor Protection Fund (IPF) according to SEBI guidelines? (Select all that apply)

A) 100% of the interest earned on the 1% security deposit kept by issuer companies (immediately on refund).
B) 1% of the listing fees received, on a quarterly basis.
C) At least 20% of the listing fees received.
D) Penalties collected from listed companies for non-compliance with LODR Regulations.
E) Penalty collected from Trading Members for deficiency in modification of client code.

3. In the context of risk management for the T+0 settlement cycle, how are securities shortages handled if a selling member fails to deliver shares?

A) By conducting an auction session on T+0 day at 2:30 PM.
B) The trade is annulled, and the buyer is refunded the transaction amount without penalty.
C) Security shortages are directly closed out at 10% above the highest price of the day across all exchanges for the T+0 market.
D) By conducting an auction session on T+1 day along with the regular market auction.
E) By imposing a standard valuation debit of 20% above the closing price.

4. Which of the following data fields must match between the transfer instruction and the Clearing Corporation's obligation data for a Pay-In instruction to be considered a 'Matched Instruction' and subsequently executed? (Select all that apply)

A) Client's Bank Account Number
B) ISIN (International Securities Identification Number)
C) CM ID (Clearing Member ID)
D) TM ID (Trading Member ID)
E) UCC (Unique Client Code)

5. For the computation of initial margins in the Equity Derivatives segment using the SPAN methodology, how is the **Price Scan Range** determined for **lndex Derivatives** (standard contracts)?

A) Based on 6 sigma, scaled up by √2, subject to a minimum of 14.2% of the underlying price.
B) Based on 3.5 sigma scaled up by root 3.
C) Based on 6 sigma, scaled up by √2, subject to a minimum of 9.3% of the underlying price.
D) 25% of annualized EWMA volatility subject to minimum 10%.
E) Flat rate of 10% of the contract value.

Solutions: