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

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

1. Under the SEBI (Prohibition of Insider Trading) Regulations, 2015, which of the following parties is deemed to be a 'Connected Person' unless the contrary is established?

A) An individual who has never held a position in the company.
B) A banker of the company.
C) A former employee who left the company 12 months prior to the act.
D) A vendor supplying office stationery on a one-off basis.
E) A shareholder holding 5% interest in the company.

2. When a delivery shortage is identified before the auction is conducted, the Clearing Corporation debits the clearing member by an amount equivalent to the securities not delivered, valued at a specific price. What is this pre-auction debit transaction formally called?

A) Shortage Collateral Block
B) Provisional Margin Call
C) Close-out Penalty
D) Auction Entry Fee
E) Valuation Debit

3. Under the cross-margining facility, if a client holds a long position in Index Futures and a corresponding short position in the constituent stock futures (in the ratio specified to replicate the index) with the **same expiry month**, what is the applicable * *spread margin* * levied on the eligible offsetting positions?

A) 30% of the applicable upfront margin.
B) 0% (Total margin exemption).
C) 100% of the higher margin of the two positions.
D) 40% of the total applicable margin.
E) 25% of the total applicable margin on the eligible offsetting positions.

4. In the context of corporate actions adjustment for * *Bonus, Stock Splits, and Consolidations** in the Equity F&O segment, how are the New Strike Price and New Market Lot determined relative to the Adjustment Factor?

A) New Strike Price = Old Strike Price / Adjustment Factor; New Market Lot = Old Market Lot / Adjustment Factor
B) New Strike Price = Old Strike Price + Adjustment Factor; New Market Lot = Old Market Lot - Adjustment Factor
C) New Strike Price = Old Strike Price Adjustment Factor; New Market Lot = Old Market Lot Adjustment Factor
D) New Strike Price =Old Strike Price Adjustment Factor; New Market Lot = Old Market Lot / Adjustment Factor
E) New Strike Price = Old Strike Price / Adjustment Factor; New Market Lot = Old Market Lot Adjustment Factor

5. Regarding the settlement timelines for Mutual Fund transactions executed on the Stock Exchange platform, which of the following statements accurately describes the funds pay-in requirement for subscription and the funds pay-out timeline for redemption?

A) Funds pay-in for subscription: T+0; Funds pay-out for redemption: T+1 to T+7 depending on the scheme.
B) Funds pay-in for subscription: T+1 ; Funds pay-out for redemption: T+1 for all schemes.
C) Funds pay-in for subscription: T+0; Funds pay-out for redemption: T+0 for Liquid funds and T+2 for Equity funds.
D) Funds pay-in for subscription: T+2; Funds pay-out for redemption: T+3.
E) Funds pay-in for subscription: T+1 ; Funds pay-out for redemption: T+2.

Solutions: