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

1. 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) Splitting a large order into smaller trades to minimize impact cost.
B) An intermediary buying securities in advance of a substantial client order effectively anticipating price movement due to that order.
C) Buying and selling securities between intermediaries to artificially inflate trading volumes without changing beneficial ownership.
D) Publishing a research report with false information to induce the sale of securities.
E) An insider trading in shares based on unpublished price sensitive information regarding a merger.

2. If the Core SGF is utilized during a calendar month due to a default, specific rules apply to the replenishment of contributions by members. Which of the following is the correct restriction on such replenishment?

A) Members must replenish the fund immediately after every default without any limit on the number of times in a month.
B) Replenishment is voluntary and depends on the profitability of the non-defaulting members.
C) Replenishment is deferred to the next financial quarter to avoid liquidity stress on members.
D) Members are liable to replenish the fund only if the default amount exceeds Rs. 100 Crore.
E) Contribution towards replenishment by members is restricted to only once during a period of 30 calendar days, regardless of the number of defaults during the period.

3. What is the mandatory mechanism for effecting the pay-in of securities for sell obligations in the T+0 settlement cycle?

A) Transfer from Client Beneficiary Account to CM Pool Account via standard market instruction.
B) Automatic sweeping of securities from the client's demat account at 1 PM.
C) Physical Delivery Instruction Slip submitted to the DP by 10:00 AM.
D) Only by way of early pay-in using block mechanism.
E) Inter-depository transfer from the client's account to the Clearing Corporation's account.

4. To increase efficiency and reduce the time duration from issue closure to listing, a new timeline was introduced for public issues opening on or after December 1, 2023. What is this mandated timeline for listing?

A) T+2 days
B) T+6 days
C) T+3 days
D) T+1 days
E) T+5 days

5. In the context of clearing membership on a Stock Exchange, identify the member category that possesses only clearing rights (no trading rights) and is authorized to clear and settle trades executed by both trading members and custodian participants.

A) Professional Clearing Member (PCM)
B) Trading Member (TM)
C) Trading cum Self-clearing Member (SCM)
D) Trading Member-cum-Clearing Member (TCM)
E) Authorized Person (AP)

Solutions: