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Following are some reference material for actual NISM NISM-Series-VII exam test

NISM NISM-Series-VII Exam Syllabus Topics:

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

Question 1

What is the primary benefit of 'Interoperability' among Clearing Corporations for a Clearing Member (CM)?

A. It enables the CM to select a single Clearing Corporation to clear and settle trades executed on multiple stock exchanges.
B. It allows the CM to execute trades on the Exchange without maintaining a Base Minimum Capital.
C. It mandates the CM to maintain separate settlement accounts for each Exchange, thereby segregating risk.
D. It guarantees that the CM will receive interest on the cash component of the Core Settlement Guarantee Fund.
E. It allows the CM to act as a Custodian for institutional clients without separate registration.

Question 2

A financial services firm applies for registration as a Portfolio Manager. They nominate Mr. X as the Principal Officer. Mr. X holds a professional qualification in finance from a recognized university. Regarding his experience, which of the following conditions MUST he satisfy to meet the eligibility criteria?

A. Experience of at least 2 years in related activities in the securities market if he holds a CFA charter.
B. Experience of at least 5 years strictly as a stock broker or dealer in the equity derivatives segment.
C. Experience of at least 5 years in related activities in the securities market, including at least 2 years in portfolio management or investment advisory services or fund management.
D. Experience of at least 7 years in related activities in the securities market, with no specific requirement for portfolio management experience.
E. Experience of at least 3 years in related activities in the securities market, with at least 1 year in portfolio management.

Question 3

Which of the following statements accurately describe the operational aspects of the Beta version of T+0 rolling settlement cycle introduced by SEBI? (Select all that apply)

A. Trading timings for the T+0 session are from 09:15 AM to 3:30 PM.
B. There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycles.
C. An auction session will be conducted on T+0 day itself for any securities shortage.
D. Security shortages shall be directly closed out at 10% above the highest price of the day across all exchanges for T+0 market.
E. Pay-in for T+0 sell obligations is allowed only by way of early pay-in using the block mechanism.

Question 4

Which of the following scenarios is explicitly EXEMPT from the mandatory periodic settlement of running accounts for funds?

A. High Net Worth Individuals (HNls) who have provided a written waiver.
B. Clients trading in the derivatives segment only.
C. Institutional clients settling trades through custodians.
D. Clients who have logged into their trading account at least once in the last 30 days.
E. Clients who have a credit balance of less than Rs. 1 lakh.

Question 5

When a corporate action adjustment (such as a bonus ratio of 3:7) results in fractions, a specific methodology is adopted to minimize fraction settlements. How are the Strike Price and Market Lot rounded off in this process?

A. Strike Price: Nearest tick size; Market Lot: Nearest integer
B. Strike Price: Rounded down to nearest tick; Market Lot: Rounded up to nearest integer
C. Strike Price: Nearest integer; Market Lot: Nearest tick size
D. Strike Price: Rounded up to nearest integer; Market Lot: Rounded down to nearest 100
E. Strike Price: Exact value up to 2 decimal places; Market Lot: Exact value

Solutions: