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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Every Depository Participant (DP) is required to abide by a specific Code of Conduct. Which regulation explicitly specifies this Code of Conduct in its Third Schedule?

A) SEBI (Prohibition of Insider Trading) Regulations, 2015
B) Depositories Act, 1996
C) SEBI (Intermediaries) Regulations, 2008
D) SEBI (Depository & Participants) Regulations, 2018
E) SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015

2. 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) Publishing a research report with false information to induce the sale of securities.
C) Splitting a large order into smaller trades to minimize impact cost.
D) Buying and selling securities between intermediaries to artificially inflate trading volumes without changing beneficial ownership.
E) An insider trading in shares based on unpublished price sensitive information regarding a merger.

3. In the context of handling settlements during holidays, specific provisions are made regarding the utilization of assets received from a prior settlement. How is the pay-out from the first settlement treated in relation to subsequent obligations?

A) It must be transferred to the client's beneficiary account immediately and cannot be used for subsequent proprietary obligations.
B) It is automatically converted into liquid assets and pledged to the Core Settlement Guarantee Fund.
C) The cash or securities pay out from the first settlement shall be made available to the member for meeting his pay-in obligations for the subsequent settlement(s).
D) It is returned to the Clearing Corporation to cover potential shortfalls in the subsequent settlement's auction.
E) It is locked in the member's pool account for 24 hours to prevent misuse.

4. Regarding the methodology for adjusting Rights Issues in the Equity F&O segment, how are the Market Lot and Position of the existing contracts modified using the Adjustment Factor?

A) The new market lot is multiplied, while the position is divided by the adjustment factor.
B) The new market lot and position are arrived at by multiplying the old market lot and position by the adjustment factor.
C) The new market lot is arrived at by adding the Rights Entitlement ratio to the old lot.
D) The new market lot and position remain unchanged; only the strike price is adjusted.
E) The new market lot and position are arrived at by dividing the old market lot and position by the adjustment factor.

5. Once a conciliator is appointed by the ODR Institution, what is the prescribed timeline for the disputing parties to reach an amicable resolution, and under what condition can this period be extended?

A) 15 calendar days, extendable by 7 days if the conciliator deems it necessary.
B) 45 calendar days, with no provision for extension to ensure speedy disposal.
C) 30 calendar days, extendable by 15 days upon approval by the MI.
D) 10 calendar days, extendable by 10 calendar days upon payment of late fees.
E) 21 calendar days, extendable for a maximum period of 10 calendar days by consent of the disputing parties.

Solutions: