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

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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. In the case of a declaration of 'extra-ordinary' dividend by a company, how is the adjustment applied to the Futures contracts on that stock?

A) The futures contract is compulsorily closed out and a new contract is introduced at the ex-dividend price.
B) The total dividend amount is added to the Daily Settlement Price.
C) All open positions shall be carried forward at the daily settlement price less the dividend amount.
D) The market lot of the futures contract is increased in proportion to the dividend yield.
E) No adjustment is made to futures contracts; adjustments are applicable only to option strike prices.

2. Regarding the modernization of broker services, what specific technological facility allows brokers to offer clients direct control over orders, faster execution, and reduced risk of manual errors?

A) Contract Note Digitization (CND)
B) Physical Delivery Instruction Slip (PDIS)
C) Offline Trading System (OTS)
D) Manual Order Routing (MOR)
E) Direct Market Access (DMA)

3. According to the Securities Contract (Regulation) Rules, 1957, and Exchange norms, which of the following conditions render an entity or person ineligible to be admitted as a member of a Stock Exchange? (Select all that apply)

A) The person has compounded with their creditors for less than full discharge of debts.
B) The person is engaged in any business other than Securities involving personal financial liability, without undertaking to sever connections.
C) The person has been convicted of an offence involving fraud or dishonesty.
D) The person is a Limited Liability Partnership registered under the Limited Liability Partnership Act, 2008.
E) The person has been adjudged bankrupt or a receiver order in bankruptcy has been made against them.

4. In the context of the beta version of the T+0 rolling settlement cycle, how is the applicable price band for a security determined and managed relative to the regular T+1 market?

A) It operates with a price band of +50 basis points from the opening price of the T+0 market, without any re-calibration during the session.
B) It is set at +1- 1% of the previous day's closing price and remains static throughout the trading session 09:15 AM to 3:30 PM.
C) It operates with a fixed price band of +/- 5% irrespective of the movement in the T+1 market.
D) It operates with a price band of +100 basis points from the price in the regular T+1 market, re-calibrated after every 50 basis points movement in the underlying T+1 market.
E) It mirrors the dynamic price band of the T+1 market exactly, flexing only when the T+1 market hits its circuit limit.

5. In the context of stock brokers providing mutual fund services, what specific compliance obligation is imposed by Regulation 4(g) of the SEBI (Investment Advisers) Regulations, 2013?

A) Stock brokers are prohibited from charging any commission on mutual fund distribution if they are registered as InvestmentAdvisers.
B) Stock brokers must maintain a minimum net worth of Rs. 1 Crore to offer investment advice.
C) Stock brokers must ensure client level segregation of advisory and distribution activities at the entity and group level.
D) Stock brokers must route all mutual fund advisory transactions through a separate subsidiary company.
E) Stock brokers must obtain a separate license from AMFI for providing advisory services.

Solutions: