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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Regarding the issuance of Contract Notes by stock brokers, which of the following statements are legally and operationally correct as per regulations? (Select all that apply)

A) If an ECN bounces, the broker is not required to take further action if the client has opted for electronic delivery.
B) A contract note is valid even if it does not explicitly state the brokerage and statutory levies separately.
C) Contract notes must be issued within 24 hours of the execution of the trade.
D) Contract notes should have a unique running serial number starting from the beginning of the financial year.
E) Electronic Contract Notes (ECNs) sent via email must be digitally signed, encrypted, and non-tamperable.

2. Stock brokers provide various types of research reports to assist investors. Specifically, what content is a 'Sector Research' report expected to cover to help investors in their decision-making process?

A) Mathematical models for algorithmic trading strategies.
B) Details on how an industry is faring and whether current policies favour the industry.
C) Detailed technical analysis of stock price movements and volume data for specific scrips.
D) Confidential insider information regarding upcoming mergers and acquisitions.
E) A comprehensive list of all IPOs expected to hit the market in the next financial year.

3. For which specific category of clients is the 'Block Mechanism' in the demat account for sale transactions explicitly applicable?

A) Corporate clients trading through a proprietary account of the Trading Member.
B) Retail investors using the Application Supported by Blocked Amount (ASBA) facility.
C) High Net Worth Individuals (HNIs) trading in the F&O segment.
D) Non-Resident Indians (NRIs) dealing through a Portfolio Investment Scheme (PIS).
E) Clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.

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

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

5. A corporate stock broker with a net worth of Rs. 10 Crore wishes to offer the margin trading facility (MTF) to its clients. According to SEBI regulations, what is the maximum limit on the broker's total indebtedness for the purpose of margin trading and the maximum allowable exposure towards MTF?

A) Total Indebtedness: Rs. 50 Crore; Maximum Exposure: Borrowed Funds + Rs. 5 Crore
B) Total Indebtedness: Rs. 20 Crore; Maximum Exposure: Rs. 50 Crore
C) Total Indebtedness: Rs. 100 Crore; Maximum Exposure: 5 times Net Worth
D) Total Indebtedness: Rs. 50 Crore; Maximum Exposure: Borrowed Funds + Rs. 10 Crore
E) Total Indebtedness: Rs. 30 Crore; Maximum Exposure: Borrowed Funds + Rs. 10 Crore

Solutions: