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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Under the SEBI (Prohibition of Fraudulent and Unfair Trade Practices relating to the Securities Market) Regulations, 2003, specific activities are defined as manipulative or unfair. Which of the following scenarios describes 'Front Running', a prohibited practice under these regulations?

A) An intermediary buying securities in advance of a substantial client order effectively anticipating price movement due to that order.
B) Buying and selling securities between intermediaries to artificially inflate trading volumes without changing beneficial ownership.
C) Splitting a large order into smaller trades to minimize impact cost.
D) An insider trading in shares based on unpublished price sensitive information regarding a merger.
E) Publishing a research report with false information to induce the sale of securities.

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

3. What specific regulatory benefit regarding reserve requirements is accorded to funds borrowed through the Triparty Repo Dealing System (TREPS) in India?

A) Exemption from Securities Transaction Tax (STT)
B) Exemption from RBI's CRR/SLR computation
C) Eligibility for priority sector lending classification
D) Automatic guarantee by the Central Government
E) Waiver of stamp duty on the underlying collateral

4. What is the primary objective of the research reports (Fundamental, Stock, Sector, etc.) regularly brought out by stock brokers?

A) To fulfill the mandatory requirement of the Companies Act, 2013.
B) To help the investor make informed investment decisions.
C) To generate additional brokerage by encouraging excessive churning of portfolios.
D) To manipulate the market price of illiquid securities.
E) To replace the role of the Investment Adviser completely.

5. In the context of 'Settlement of Account of Clients who have not traded in the last 30 days', how must a Trading Member (TM) handle a client's credit balance if the client has not executed any transaction for 30 calendar days?

A) The TM must obtain a fresh Running Account Authorization from the client to continue holding the funds.
B) The TM can continue to hold the funds until the next quarterly settlement date preferred by the client.
C) The TM must transfer the funds to the Investor Protection Fund (IPF) after 30 days of inactivity.
D) The TM must return the entire credit balance to the client on the upcoming settlement dates of the monthly running account settlement cycle, irrespective of the client's preference.
E) The TM is allowed to retain funds up to Rs. 50,000 for administrative charges and return the rest.

Solutions: