NISM NISM-Series-VII

Along with the coming of the information age, the excellent IT skills are the primary criterion for selecting talent of enterprises. NISM Certification gives an IT a credential that is recognized in the IT industry. It can act as a passport to a well-rewarded job, smooth the path to promotion or higher earnings. Here, NISM certification NISM-Series-VII exam (NISM Series VII - Securities Operations and Risk Management Certification) is a very important exam to help you get better progress and to test your IT skills.

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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 online risk management system capabilities that a broker must possess for Middle Office Operations. (Select all that apply)

A) The system must maintain separate ledgers for proprietary and client trades but need not monitor them in real-time.
B) The system must have on-line real-time risk management for all orders placed on the exchange trading system.
C) Only orders within parameters like Order Quantity, Value Limits, and Price Limits should be pushed to the exchange.
D) The system should strictly allow order modification only after trade execution is confirmed by the back office.
E) The system should have the capability to generate reports relating to margin requirements and delivery obligations.

2. Under the SEBI (Infrastructure Investment Trusts) Regulations, 2014, if an InvlT raises funds via private placement, which of the following combinations of 'minimum investment' and 'trading lot' criteria must be met?

A) Minimum Investment: Rs. 10 Lakhs; Trading Lot: 1 Unit
B) Minimum Investment: Rs. 10,000; Trading Lot: Rs. 5 Lakhs
C) Minimum Investment: Rs. 50 Lakhs; Trading Lot: Rs. 10 Lakhs
D) Minimum Investment: Rs. 25 Crores; Trading Lot: 1 Unit
E) Minimum Investment: Rs. 1 Crore; Trading Lot: Rs. 25 Lakhs

3. Regarding the utilization of interest or income received out of investments made from the Investor Protection Fund (IPF), which of the following statements accurately reflects the regulatory mandate for ploughing back funds into the corpus?

A) The entire interest income must be transferred to the Investor Services Fund (ISF) annually.
B) At least 70% of interest or income from IPF received every year shall be ploughed back to IPF.
C) 100% of the interest or income received every year must be strictly used for settling claims and cannot be reinvested.
D) Only the interest earned on the security deposit of the issuer companies is ploughed back; other income is free for use.
E) At least 50% of the interest or income must be ploughed back, while the remaining 50% can be used for administrative expenses.

4. A clearing member fails to discharge their funds obligations at the notified time. According to the NISM workbook, this failure renders the member liable for specific consequences regarding their operations. Which of the following is explicitly mentioned as a potential liability/action?

A) Suspension of the clearing bank's license.
B) Immediate transfer of the clearing member's proprietary trades to the Investor Protection Fund.
C) Mandatory liquidation of all client assets held in the pool account.
D) Automatic cancellation of the certificate of registration by SEBI.
E) Withdrawal of trading facility.

5. Regarding 'Market Makers' in the Indian securities market, which of the following statements regarding their mandatory obligations is correct?

A) Market making has been made mandatory in respect of all scrips listed and traded on SME Exchanges
B) Market making is voluntary for all scrips listed on Small and Medium Enterprise (SME) Exchanges
C) Market makers are appointed solely by SEBI and not by the Exchanges
D) Market making is restricted to the derivatives segment only
E) Market makers are required to provide only buy quotes to ensure exit options for investors

Solutions: