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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 context of the clearing and settlement ecosystem, the Clearing Corporation assumes the role of a legal counterparty to all trades executed on the Stock Exchange. What is the specific legal term for this process where the original contract between the buyer and seller is replaced by two new contracts with the Clearing Corporation?

A) Arbitration
B) Novation
C) Indemnification
D) Adjudication
E) Subrogation

2. Certain types of complaints fall outside the purview of the SEBI Complaints Redress System (SCORES). Which of the following is explicitly NOT dealt with through SCORES?

A) Complaints against listed companies regarding non-receipt of dividends.
B) Complaints against companies where a moratorium order is passed in insolvency proceedings.
C) Complaints regarding unauthorized trading by a sub-broker.
D) Complaints regarding dematerialization delays by a Depository Participant.
E) Complaints against registered stock brokers regarding non-receipt of funds.

3. In the context of the 'Application Supported by Blocked Amount' (ASBA) facility processed by intermediaries in public issues, what is the critical pre-condition explicitly mandated by SEBI before the ASBA applications can be processed?

A) The General Index Register (GIR) number must be verified.
B) The application must be uploaded to the Exchange bidding platform.
C) The application monies must be blocked in the investor's bank account.
D) The physical form must be received by the Registrar.
E) The syndicate member must issue a physical acknowledgement slip.

4. Based on the classification of membership in the Indian securities market, which of the following categories of members holds both trading and clearing rights but is explicitly restricted from clearing trades for custodian participants?

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

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

Solutions: