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

1. Clearing Members are required to open specific demat accounts known as 'Clearing Member Settlement Pool Accounts' with depositories. Which of the following statements is legally and operationally ** TRUE** regarding these accounts?

A) The clearing member does not get any ownership or beneficiary rights over the shares held in these accounts.
B) The clearing member acquires full beneficiary ownership rights over the securities transferred into this account.
C) Credits to this account are not permitted; it is used solely for delivering securities to the Clearing Corporation.
D) These accounts are strictly used for holding the member's long-term proprietary investments to separate them from client assets.
E) Clients are prohibited from transferring shares directly into the member's pool account; all transfers must route through the Exchange.

2. If a client submits a transfer instruction where the quantity is *less* than the net delivery obligation provided by the Clearing Corporation, what is the outcome of the validation process by the Depositories?

A) The instruction is rejected because it does not fully meet the obligation.
B) The instruction is carried out by the depositories.
C) The instruction is held in abeyance until a supplementary instruction for the balance quantity is received.
D) The instruction is processed, but a penalty is automatically levied on the client for short delivery.
E) The instruction is routed to the Clearing Member for manual approval before processing.

3. Under Section 12 of the Prevention of Money Laundering Act (PMLA), 2002, what is the mandatory retention period for documents evidencing the identity of clients and beneficial owners?

A) Ten years from the date of account opening.
B) Five years after the business relationship between a client and the reporting entity has ended or the account has been closed, whichever is later.
C) Seven years from the date of the suspicious transaction report filing.
D) Two years from the date of the last transaction in the account.
E) Five years from the date of the specific transaction.

4. Under the 'Beta version of T+0 rolling settlement cycle on optional basis', which of the following operational parameters regarding trading hours, price bands, and shortage handling is correctly defined?

A) The trading session operates continuously from 09:15 AM to 3:30 PM.
B) Netting of pay-in and pay-out obligations is permitted between T+1 and T+0 settlement cycles.
C) The price band is fixed at +1-5% of the closing price in the regular T+1 market.
D) Security shortages are handled through an auction session conducted on the same day.
E) Pay-in for T+0 sell obligations is allowed only by way of early pay-in using the block mechanism.

5. Consider the following trading data for Broker 'Y' in Security ABC on a specific trading day:
1. Sold 200 shares @ Rs. 10 to Broker X
2. Bought 50 shares @ Rs. 10.50 from Broker Z
3. Bought 300 shares @ Rs. 11 from Broker X
Calculate the Net Fund Obligation for Broker 'Y' to be settled with the Clearing Corporation.

A) Receive Rs. 1,575
B) Pay Rs. 1,200
C) Pay Rs. 3,825
D) Receive Rs. 2,000
E) Pay Rs. 1,825

Solutions: