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

1. In the process of Auction of Securities, if the auction or close-out results in proceeds that exceed the claim of the aggrieved party (buyer), how is the remaining amount treated?

A) It is refunded to the defaulting selling member.
B) It is transferred to the Investor Protection Fund (IPF) of the Exchange.
C) It is credited to the Core Settlement Guarantee Fund (Core SGF).
D) It is retained by the Clearing Corporation as administrative charges.
E) It is shared equally between the Clearing Corporation and the aggrieved party.

2. If the conciliation process fails and the **Market Participant** decides to pursue online arbitration, what specific financial requirement must they satisfy prior to the initiation of the online arbitration?

A) They must provide a Bank Guarantee equivalent to 50% of the claim value.
B) They must deposit 75% of the claim value with the Investor Protection Fund (IPF).
C) They must pay a non-refundable arbitration fee of Rs. 25,000.
D) They must deposit 100% of the admissible claim value with the relevant Market Infrastructure Institution (MII).
E) They must obtain an indemnity bond from the investor for the full claim amount.

3. Which of the following statements correctly describe the logic for blocking margins from collateral for different types of trades under the client collateral segregation framework? (Select all that apply)

A) Margins based on trades from the proprietary account of the CM are blocked from the proprietary collateral of the CM only.
B) For a client trade, if TM proprietary collateral is insufficient, the residual margin is blocked from the collateral of other clients of the same TM.
C) For a trade from a client account, if client collateral is insufficient, the residual margin is blocked from the TM proprietary collateral.
D) If a CM'S proprietary collateral is insufficient for a TM's proprietary trade, the CC utilizes the Core SGF immediately.
E) For a trade from the proprietary account of a TM, margin is first blocked from the TM proprietary collateral, and if insufficient, from the CM proprietary collateral.

4. Under which of the following circumstances does the Clearing Corporation directly 'Close Out' the shortage WITHOUT conducting an auction session? (Select all that apply)

A) Shortage in delivery of securities under corporate action (e.g., undergoing stock split/bonus).
B) Shortage arising from trades in the T+0 rolling settlement cycle.
C) Shortage in securities under the Trade for Trade Surveillance (TFTS) category.
D) Shortage arising from trades executed in the normal rolling settlement cycle (T+1) for Group I liquid securities.
E) Shortage arising from trades executed in the Block Deal window.

5. To enable the validation of Pay-In instructions by Depositories, what is the specific role and timeline mandated for Clearing Corporations (CCs) in this process?

A) CCs shall provide client-wise net delivery obligations on T day to the depositories.
B) CCs must validate the ISINs in the client account against the Exchange master list on T-1 day.
C) CCs must generate a physical delivery instruction slip for every client obligation by T+1 morning.
D) CCs shall transfer the securities from the client account to the pool account directly without Depository intervention.
E) CCs must approve every individual transfer instruction manually before execution on the settlement day.

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