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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. 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) Global Depository Receipts (GDRs)
C) American Depository Receipts (ADRs)
D) Indian Depository Receipts (IDRs)
E) Foreign Currency Convertible Bonds (FCCBs)

2. Based on the concept of Multilateral Netting, calculate the Net Quantity obligation for Broker 'Z' given the following trades in Security ABC:
1. Broker Y buys 50 shares from Broker Z @ Rs. 10.50
2. Broker X buys 100 shares from Broker Z @ Rs. 10.50

A) Deliver 50 shares
B) Deliver 100 shares
C) Deliver 150 shares
D) Receive 100 shares
E) Receive 150 shares

3. A Trading Member (TM) has the following positions in a specific stock futures contract at the end of a trading day:
Proprietary Account: Buy 2000, Sell 1500
Client A: Buy 1000, Sell 1200
Client B: Buy 500, Sell 100
Based on the methodology for determining the open positions of clearing members in the derivatives segment, what is the TM's 'Open Position' for this contract?

A) 1100 contracts (Net Proprietary + Absolute Net Client Long + Absolute Net Client Short)
B) 500 contracts (Net Proprietary Position only)
C) 6300 contracts (Gross Buy + Gross Sell of all accounts)
D) 900 contracts (Gross Proprietary + Net Client Position)
E) 700 contracts (Net Proprietary + Net Client Position)

4. A stock broker receives a request from a client to maintain a running account for funds to avoid frequent pay-ins and pay-outs. Regarding the authorization for this running account, which of the following conditions is **MANDATORY** for the broker to accept the request?

A) The authorization must be signed by the client only and cannot be signed by any Authorized Person or POA holder.
B) The authorization automatically allows the broker to transfer funds between different clients to manage temporary shortages.
C) The authorization can be signed by the Power of Attorney (POA) holder if the client is traveling abroad.
D) The actual settlement of funds must be done at least once in a financial year.
E) The authorization is valid for a lifetime unless the broker decides to revoke it due to risk management concerns.

5. According to the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, from whom must an issuer obtain 'in-principle approval' for listing securities before issuing further shares, specifically in the case where the company is not listed on any exchange having nationwide trading terminals?

A) From the stock exchange with the highest trading volume in the previous financial year
B) From all the stock exchange(s) in which the securities of the issuer are proposed to be listed
C) Only from the Securities and Exchange Board of India (SEBI)
D) From the Registrar of Companies (ROC) where the company is registered
E) From any one recognized stock exchange having nationwide trading terminals

Solutions: