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

1. In the context of the T+1 rolling settlement cycle for the Cash Segment, by what specific time must the custodial confirmation of trades be completed on the T+1 day to ensure the timely determination of final obligations by the Clearing Corporation?

A) By 11:00 AM on T+1 Day
B) By 7:30 AM on T+1 Day
C) By 4:15 PM on T Day
D) By 1:30 PM on T+1 Day
E) By 9:00 AM on T+1 Day

2. In the context of the SEBI Complaints Redress System (SCORES), certain types of complaints are explicitly excluded from its purview Which of the following scenarios represents a complaint that is NOT dealt with through SCORES?

A) Complaint regarding unauthorized trading by a registered stock broker
B) Complaint regarding non-receipt of dividend from a listed company
C) Complaint regarding non-receipt of refund in an Initial Public Offer (IPO)
D) Complaint against a company where a moratorium order is passed in insolvency proceedings
E) Complaint regarding discrepancy in the demat account holding statement

3. The Clearing Corporation performs three main functions: clearing, settlement, and risk management. Which of the following statements accurately defines the specific scope of the 'clearing' function?

A) It is the process of collecting margins and maintaining the Core Settlement Guarantee Fund.
B) It is the two-way process which involves the actual transfer of funds and securities on the settlement date.
C) It is the mechanism of linking multiple depositories to facilitate inter-depository transfers.
D) It is the process designed to work out what members are due to deliver and what members are due to receive on the settlement date.
E) It involves the handling of exceptional situations like auction settlement and bad delivery.

4. In the context of determining the 'venue and seat' of online proceedings for a dispute between an individual investor and a listed company/intermediary, which location is deemed to be the venue and seat?

A) The registered office of the ODR Institution administering the dispute.
B) The location where the Market Infrastructure Institution (Mll) is headquartered.
C) The High Court jurisdiction where the listed company is registered.
D) The place where the investor resides permanently.
E) The location of the SEBI Regional Office nearest to the investor.

5. In the process of Broker Netting with the Clearing Corporation, what is the sequence of events regarding the determination of obligations?

A) Multilateral netting -> List of transactions sent to member -> Pay-in/Pay-out confirmation.
B) List of transactions sent to member -> Multilateral netting -> Members informed of amount/securities to receive/pay.
C) Bilateral netting between brokers -> Confirmation to CC -> Settlement.
D) Pay-in of funds Multilateral netting -> Pay-out of securities.
E) Gross settlement determination Netting within firm Multilateral netting.

Solutions: