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

1. A purchaser of securities wishes to streamline the process of receiving securities into their demat account. What are the permissible modes for a client to handle receipt instructions with their Depository Participant (DP)?

A) Receipt instructions are not required at all as the Clearing Corporation has a unilateral right to credit any account.
B) The client can give a one-time standing instruction to the DP for receiving securities, or choose to issue separate receipt instructions for each purchase.
C) The client must mandatorily issue a separate physical receipt instruction for every single trade.
D) Standing instructions are only valid for government securities and not for equity shares.
E) The client must grant a Power of Attorney to the Clearing Corporation to auto-credit securities.

2. Regarding the 'Direct Pay-out' of securities mandated by SEBI vide circular dated June 05, 2024, which of the following operational changes has been implemented concerning the credit of securities and the settlement timing?

A) Securities are credited to the Broker's Pool Account by 1 PM, and the broker must transfer them to the client by 3:30 PM on the same day.
B) Securities are credited directly to the client's demat account by the Clearing Corporation, and the pay-out timing is revised from 1 PM to 3:30 PM.
C) Securities are credited to a temporary 'Client Unpaid Securities Account' maintained by the Clearing Corporation until funds are cleared.
D) Direct pay-out is applicable only for Institutional Clients, while Retail Clients continue to receive shares via the Broker's Pool Account.
E) The pay-out timing remains 1 PM, but the securities are credited to the client's account on T+2 day instead of T+1.

3. Regarding the contributions to the Core Settlement Guarantee Fund (Core SGF), which of the following statements accurately reflects the regulatory requirements for Clearing Members (CMS) and the Clearing Corporation (CC)?

A) CMS must contribute at least 50% of the MRC, and this contribution is eligible for margin exposure limits.
B) CMS are required to contribute 100% of the MRC in the form of bank guarantees, while CC manages the fund without financial contribution.
C) CC contribution shall be at least 50% of the MRC from its own funds, and CM primary contribution shall not exceed 25% of the MRC, with no exposure granted on such contribution.
D) CC contribution must be at least 25% of the MRC, and CM contribution is voluntary based on trading volume.
E) Stock Exchanges must contribute 50% of the MRC, while CC and CMS share the remaining 50% equally.

4. Economic efficiency in the securities market is often described by the 'decoupling' of activities. Which of the following best explains the economic impact of this decoupling as defined in the source?

A) It ensures that savers and investors are constrained by the economy's abilities rather than their individual abilities.
B) It mandates that investors must possess surplus funds equal to the issuer's total capital.
C) It allows savers to directly manage the administrative operations of the issuer.
D) It eliminates the need for financial intermediaries in the transfer of resources.
E) It restricts the allocation of savings to government-backed securities only.

5. Which of the following statements accurately reflect the roles and functions of a Clearing Corporation as a central counterparty (COP)?
(Select all that apply)

A) It guarantees settlement of trades through the process of novation.
B) It calculates and controls the margining mechanism.
C) It executes client orders on the stock exchange platform on behalf of the trading members.
D) It reduces the number of payments due by netting transactions.
E) It provides independent legal enforcement of contracts, reducing the need for buyers and sellers to take legal action against one another.

Solutions: