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NISM NISM-Series-VII Exam Syllabus Topics:

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

Question 1

Regarding Indian Depository Receipts (IDRs) and the regulatory framework for their conversion or redemption into underlying equity shares, which of the following statements accurately reflects the permissible conditions?

A. The headroom for conversion is calculated based on the total paid-up capital of the issuing company rather than the specific number of IDRs issued.
B. Investors can request redemption into underlying shares at any time, but the underlying shares must be held by a domestic custodian registered with SEBI.
C. Redemption is permitted immediately upon listing, provided the fungibility is restricted to one-way conversion from IDRs to shares only.
D. Redemption is permitted after 1 year from the date of listing, subject to available headroom calculated as originally issued IDRs minus outstanding IDRs adjusted for redemptions.
E. Two-way fungibility is strictly prohibited; investors can only convert underlying shares into IDRs but cannot redeem IDRs into shares.

Question 2

Transfer of securities from one account to another within the depository system may be done for which of the following purposes?
(Select all that apply)

A. Transfer arising out of transmission of securities.
B. Transfer due to an 'off-market' transaction (person-to-person).
C. Transfer for the purpose of evading Stamp Duty.
D. Transfer arising out of a transaction done on a recognized Stock Exchange.
E. Transfer arising out of account closure.

Question 3

In the context of adjustments for corporate actions such as Bonus, Rights, or Mergers in the Equity F&O segment, at what specific point in time is the adjustment carried out?

A. On the date of the Board Meeting where the corporate action was announced.
B. On the last day on which a security is traded on a 'cum' basis in the underlying equities market after the close of trading hours.
C. On the Record Date fixed by the company for the corporate action.
D. On the payout date of the relevant settlement cycle.
E. On the Ex-Date of the corporate action before the start of market hours.

Question 4

According to the regulations governing institutional investors in the Indian Cash Market, which of the following combinations of trading activities is strictly PROHIBITED?

A. Trading in the Block Deal window
B. Short selling with mandatory delivery obligation
C. Algorithmic trading using Direct Market Access
D. Using the 'INST' code for order entry
E. Day trading (squaring off transactions intra-day)

Question 5

Which of the following statements accurately describe the application of the 'Close Out' procedure by the Clearing Corporation? (Select all that apply)

A. The close out price is strictly fixed at the closing price of the trade day for all scenarios.
B. Close out is conducted if an auction for short delivery finds no sellers.
C. Any surplus proceeds from a close out are credited to the defaulting party's settlement account.
D. Securities under 'Trade for Trade' category are subject to direct close out without an auction.
E. Delivery shortages in securities undergoing corporate action are directly closed out.

Solutions: