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

1. A transferee (buyer) in the depository system wishes to receive securities into their demat account. What is the operational requirement regarding 'Standing Instructions' (SI) for this process?

A) If 'Standing Instructions' are not given, the transferee must give separate Receipt Instructions each time to the DP to receive securities.
B) Standing Instructions allow the DP to debit the account without a Delivery Instruction Slip (DIS).
C) Standing Instructions are valid only for off-market transfers and not for market trades.
D) The SI functionality has been replaced entirely by the Demat Debit and Pledge Instruction (DDPI).
E) Standing Instructions are mandatory for all accounts; without them, the account remains inactive.

2. For the purpose of identifying an 'extra-ordinary' dividend (which triggers adjustment in Equity F&O), the declared dividend must be at and above 2% of the market value of the underlying stock. How is this 'market price' specifically defined for the calculation?

A) The closing price of the scrip on the date of the Annual General Meeting (AGM) where the dividend is approved.
B) The average closing price of the scrip for the last 5 trading days prior to the record date.
C) The volume-weighted average price (VWAP) of the scrip on the cum-dividend date.
D) The closing price of the scrip on the record date fixed for the purpose of dividend payment.
E) The closing price of the scrip on the day previous to the date on which the announcement of the dividend is made by the Company after the Board meeting.

3. Under the regulatory framework for 'Authorized Persons' (AP) in the securities market, which of the following compliance requirements is mandatory for their appointment?

A) The AP is legally liable for their own acts, completely absolving the Trading Member.
B) The Trading Member must obtain specific prior approval for the AP for each segment separately.
C) The AP must deposit a separate Base Minimum Capital (BMC) directly with the Clearing Corporation.
D) The AP must register as a separate Trading Member with the Exchange.
E) The AP must be a corporate body under the Companies Act, 2013.

4. Which of the following statements correctly differentiates the operational and regulatory features of 'Triparty Repo' (TREPS) and 'Repo in Corporate Bonds' in the Indian Debt Market?

A) Triparty Repo on corporate bonds uses the NDS-OM platform, while Government Securities use the RFQ platform.
B) In TREPS, the seller cannot substitute the security during the repo period, whereas in Corporate Bond Repo, substitution is mandatory.
C) Corporate Bond Repo allows participants to borrow funds against the collateral of their own securities, whereas TREPS prohibits this.
D) In TREPS, the seller of the security has a right to substitute the security, and funds borrowed are exempted from CRR/SLR computation.
E) Settlement for Corporate Bond Repo is guaranteed by the RBI directly, while TREPS is settled bilaterally without a central counterparty.

5. Once a conciliator is appointed by the ODR Institution, what is the prescribed timeline for the disputing parties to reach an amicable resolution, and under what condition can this period be extended?

A) 21 calendar days, extendable for a maximum period of 10 calendar days by consent of the disputing parties.
B) 30 calendar days, extendable by 15 days upon approval by the MI.
C) 10 calendar days, extendable by 10 calendar days upon payment of late fees.
D) 45 calendar days, with no provision for extension to ensure speedy disposal.
E) 15 calendar days, extendable by 7 days if the conciliator deems it necessary.

Solutions: