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

1. With the validation of instructions for Pay-In of securities from Client demat account to Member Pool Account, what action do Depositories take if the quantity in the transfer instruction is more than the obligation provided by the Clearing Corporation (CC)?

A) The instruction is processed only if the client provides a specific indemnity bond.
B) The instruction is partially processed by the depositories up to the matching obligation quantity.
C) The instruction is held in pending status until the Member confirms the additional quantity.
D) The instruction is completely rejected.
E) The instruction is processed for the full quantity, and excess is returned by the Member.

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

3. For Futures Contracts on Individual Securities, which price is used as the 'Final Settlement Price' on the last trading day?

A) The weighted average price of the underlying security during the last 30 minutes of trading.
B) The closing price of the futures contract on the expiry day.
C) The last traded price (LTP) of the underlying security on the primary exchange.
D) The theoretical price calculated using the cost of carry model.
E) The closing price of the relevant underlying security in the Capital Market Segment across exchanges.

4. Under the framework for 'Demat Debit and Pledge Instruction' (DDPI), which replaces the Power of Attorney (POA) for specific purposes, for which of the following activities is the use of DDPI strictly limited to?

A) Execution of off-market trades between parties other than the related parties.
B) Transfer of securities to the demat account of the Trading Member for margin purposes (title transfer).
C) Opening a new beneficial owner account or a broking facility with another stock broker.
D) Transfer of funds from the bank account of the client to the stock broker's settlement account for meeting margin requirements.
E) Transfer of securities held in the beneficial owner accounts of the client towards Stock Exchange related deliveries or settlement obligations.

5. Cash Management Bills (CMBs) are issued by the Government of India to fund temporary cash flow mismatches. Which of the following correctly identifies their maturity characteristics and trading platform?

A) Maturities less than 91 days; Traded on NDS-OM platform
B) Maturities less than 14 days; Traded on OTC market only
C) Maturities between 91 and 182 days; Traded on CROMS
D) Maturities of exactly 91 days; Traded on NDS-CALL platform
E) Maturities up to 364 days; Traded on RFQ Platform

Solutions: