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

1. Which specific regulation defines a 'Clearing Corporation' as an entity established to undertake the activity of clearing and settlement of trades in securities or other instruments dealt on a recognized stock exchange?

A) SEBI (Stock Brokers) Regulations, 1992
B) Securities Contracts (Regulation) Rules, 1957
C) Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2018
D) Depositories Act, 1996
E) SEBI (Intermediaries) Regulations, 2008

2. According to the SEBI (Portfolio Managers) Regulations, 2020, which of the following entities is defined as a 'Co-investment Portfolio Manager' and what is the specific restriction on their investment activities?

A) A Portfolio Manager providing services to accredited investors only and investing up to 100% in unlisted securities.
B) A non-discretionary portfolio manager who invests only in government securities and money market instruments.
C) A Manager of a Category I or II AIF who provides services only to investors of such AIFs and makes investments only in unlisted securities of investee companies where such AIFs make investments.
D) A Manager of a Mutual Fund who invests only in listed securities of investee companies where the Mutual Fund makes investments.
E) A discretionary portfolio manager who leverages client funds for derivative trading up to 50% of the portfolio value.

3. According to the SEBI (Prohibition of Insider Trading) Regulations, 2015, certain categories of persons are 'deemed to be connected persons' unless the contrary is established. Which of the following entities fall under this 'deemed' category?

A) A concern, firm, or HUF wherein a director of the company has more than 10% of the holding of interest.
B) An official of a stock exchange or clearing corporation.
C) A person who has been associated with the company in any capacity 8 months prior to the trade.
D) A banker of the company.
E) A holding company or subsidiary company of the listed entity.

4. Which of the following services can a Depository Participant (DP) engage in, as explicitly listed in the NISM workbook? (Select all that apply)

A) Receiving electronic credit in respect of securities allotted by issuers under IPO
B) Freezing of the demat account for debits, credits, or both
C) Underwriting of Initial Public Offers (IPOs)
D) Pledging of dematerialized securities & facilitating loans against shares
E) Issuing equity research reports for the depository

5. Select the correct statements regarding the regulations and procedures governing the auction of securities and handling of proceeds by the Clearing Corporation. (Select all that apply)

A) The members participating in the auction session as sellers are required to deliver the shares to the Clearing Corporation on or before the auction pay-in day, which is the subsequent day.
B) In no case shall the auction be held beyond a period of one week from the pay-in day of the settlement in which the contract was entered into.
C) If the auction seller fails to deliver on the auction pay-in day, the deal is closed out at the standard valuation price of the T+1 day.
D) The auction for undelivered quantities can be held multiple times for the same settlement until the full quantity is procured.
E) Any amount remaining from the proceeds of an Auction or Close-out, after settling the aggrieved party's claim, is credited to the Core Settlement Guarantee Fund (Core SGF).

Solutions: