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

1. Regarding the utilization of interest or income received out of investments made from the Investor Protection Fund (IPF), which of the following statements accurately reflects the regulatory mandate for ploughing back funds into the corpus?

A) The entire interest income must be transferred to the Investor Services Fund (ISF) annually.
B) Only the interest earned on the security deposit of the issuer companies is ploughed back; other income is free for use.
C) At least 50% of the interest or income must be ploughed back, while the remaining 50% can be used for administrative expenses.
D) At least 70% of interest or income from IPF received every year shall be ploughed back to IPF.
E) 100% of the interest or income received every year must be strictly used for settling claims and cannot be reinvested.

2. Regarding the maintenance of a Running Account for funds by a stock broker for a client, which of the following statements accurately reflects the regulatory requirement for the actual settlement of funds?

A) Settlement must occur within 24 hours of the payout for every transaction, regardless of the running account authorization.
B) Settlement must be done on the last trading day of every month or quarter as per the client's preference.
C) Settlement shall be done on the first Friday and/or Saturday of every month/quarter, based on the annual calendar issued jointly by Stock Exchanges.
D) Settlement is mandatory only when the credit balance exceeds Rs. 10,000; otherwise, funds can be retained indefinitely.
E) Settlement dates are determined individually by each stock broker based on their internal risk management policy.

3. The 'Direct Listing of Equity Shares of Companies Incorporated in India on International Exchanges Scheme' is specified under which schedule of the Foreign Exchange Management (Non-debt Instruments) Rules, 2019?

A) Schedule VII
B) Schedule V
C) Schedule XI
D) Schedule I
E) Schedule X

4. According to the provisions regarding 'Settlement dues', if a clearing member fails to discharge their funds obligations at the notified time, which of the following liabilities or actions may they face? (Select all that apply)

A) Automatic transfer of the member's clearing bank account to the Investor Protection Fund
B) Immediate forfeiture of the member's personal assets
C) Withdrawal of trading facility
D) Actions as decided by the Relevant Authority
E) Disciplinary actions

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

Solutions: