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

1. Periodic settlement of running accounts is mandatory for most clients. However, under which of the following specific circumstances is the periodic settlement of funds **NOT** necessary to the extent of funds involved?

A) For Non-Resident Indian (NRI) clients dealing through the Portfolio Investment Scheme (PIS).
B) For clients availing Margin Trading Facility (MTF), to the extent of funds/securities relating to MTF used by the client.
C) For clients who have a credit balance of less than Rs. 10,000.
D) For High Net Worth Individuals (HNIs) who have provided a 'Do Not Settle' instruction.
E) For clients trading in the derivatives segment with open positions, even if they have excess free cash.

2. Stock brokers bring out regular research reports for their clients. Which of the following is NOT explicitly listed in the NISM workbook as a type of research report typically provided by brokers?

A) Special Reports to cater to needs of some investors
B) High-Frequency Arbitrage Reports
C) Fundamental Research
D) Stock Research
E) Daily/weekly/fortnightly/monthly newsletters

3. In the context of the Indian Money Market, which of the following instruments represents an extension of the interbank call market for uncollateralized lending and borrowing of funds for a period specifically defined as between 15 days and 1 year?

A) Term Money
B) Commercial Paper
C) Market Repo
D) Cash Management Bills
E) Notice Money

4. A stock broker executes multiple trades for a client throughout the day in various securities. According to the clearing process regarding the balancing of client accounts within the broker's firm, how is the final obligation handled?

A) The broker must segregate buy and sell transactions and settle them separately without offsetting.
B) At the end of the day, the position of each client is netted against all his transactions and the final pay-in/pay-out is carried out.
C) Client accounts are balanced weekly to determine the net obligation for the settlement cycle.
D) Every trade is settled gross with the clearing corporation, and netting is strictly prohibited within the broker's books.
E) Netting is allowed only for institutional clients, while retail client accounts must be settled on a trade-to-trade basis.

5. In the context of the operations of a Depository Participant (DP), what is identified as the 'main activity' pursuant to the trading activity of an investor?

A) Pledging of dematerialized securities
B) Freezing of the demat account for debits or credits
C) Dematerialization of physical securities
D) Receiving non-cash corporate benefits like bonus shares
E) Settlement and transfer of securities from one beneficiary account to another

Solutions: