NISM Series VII - Securities Operations and Risk Management Certification - NISM-Series-VII certification

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NISM NISM-Series-VII Exam Syllabus Topics:

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

Question 1

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

Question 2

Regarding the payment of upfront margin by a clearing member to the Clearing Corporation, which of the following statements accurately describes the timing and method of collection?

A. Margins are adjusted from the liquid assets of a clearing member on a real-time basis.
B. Margins are calculated weekly and adjusted against the Base Minimum Capital.
C. Margins are collected at the end of the trading day via a debit to the settlement account.
D. Margins are collected on T+1 day before the pay-in of funds.
E. Margins are collected only in the form of cash equivalents deposited with the Clearing Bank.

Question 3

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 restricted to the derivatives segment only
C. Market makers are appointed solely by SEBI and not by the Exchanges
D. Market making is voluntary for all scrips listed on Small and Medium Enterprise (SME) Exchanges
E. Market makers are required to provide only buy quotes to ensure exit options for investors

Question 4

Which of the following statements correctly reflect the general responsibilities and investment restrictions imposed on a Portfolio Manager by SEBI? (Select all that apply)

A. The portfolio manager is permitted to lend securities held on behalf of clients to third parties to generate extra income without restriction.
B. The portfolio manager shall not borrow funds or securities on behalf of the client.
C. The portfolio manager shall segregate each client's holding in securities in separate accounts.
D. Portfolio Managers may invest in units of Mutual Funds only through the direct plan.
E. The discretionary portfolio manager can deploy client funds in bill discounting if authorized by the client.

Question 5

Large stock brokers have evolved from pure trading intermediaries into comprehensive 'Financial Services Companies'. In this capacity, which specific service is highlighted as being offered primarily to High Net Worth Individuals (HNIs)?

A. Public Provident Fund (PPF) management
B. Direct Benefit Transfer (DBT) facilitation
C. Basic savings bank account services
D. Micro-credit facilities
E. Wealth management services

Solutions: