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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Cash Management Bills (CMBs) are issued by the Government of India to fund temporary cash flow mismatches. Which of the following correctly identifies their maturity characteristics and trading platform?

A) Maturities less than 91 days; Traded on NDS-OM platform
B) Maturities less than 14 days; Traded on OTC market only
C) Maturities up to 364 days; Traded on RFQ Platform
D) Maturities of exactly 91 days; Traded on NDS-CALL platform
E) Maturities between 91 and 182 days; Traded on CROMS

2. Transfer of securities from one account to another within the depository system may be done for which of the following purposes?
(Select all that apply)

A) Transfer for the purpose of evading Stamp Duty.
B) Transfer arising out of account closure.
C) Transfer arising out of a transaction done on a recognized Stock Exchange.
D) Transfer arising out of transmission of securities.
E) Transfer due to an 'off-market' transaction (person-to-person).

3. A stock broker intends to expand their business scope by offering Portfolio Management Services (PMS) and functioning as a Depository Participant. According to the regulatory framework for 'Other Services Provided by Brokers', which of the following statements accurately reflects the registration requirement for these additional services?

A) The existing stock broker registration with SEBI is comprehensive and covers all financial services including PMS and Depository services.
B) Registration is only required with the Stock Exchange for PMS, while Depository services require SEBI registration.
C) The broker needs to convert into a Non-Banking Financial Company (NBFC) to offer these services, but no separate SEBI registration is needed.
D) These services can be offered under a general 'Investment Advisory' license without specific product registration.
E) The broker must obtain separate registration/licenses from SEBI for each of the specific services like PMS and Depository services.

4. Which of the following instruments allows foreign companies to raise capital directly from the Indian securities market in Indian Rupees?

A) Foreign Currency Convertible Bonds (FCCBs)
B) Global Depository Receipts (GDRs)
C) External Commercial Borrowings (ECBs)
D) Indian Depository Receipts (IDRs)
E) American Depository Receipts (ADRs)

5. Regarding the 'Block Mechanism in demat account of clients undertaking sale transactions', what happens if the sale transaction is not executed or is unmatched?

A) The client must manually submit an unblocking request to the Depository Participant on T+1 day.
B) The shares are auctioned by the Clearing Corporation to recover the blockage fees.
C) The shares are transferred to the Clearing Member's pool account and then returned to the client.
D) The shares remain blocked until the payout date of the next settlement cycle.
E) The Clearing Corporation uploads cancellation of Block instruction on T day, and securities are unblocked and become free in the client's demat account on T day itself.

Solutions: