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

1. As per the SEBI International Financial Services Centres (IFSC) guidelines, 2015, which of the following types of securities and products are permitted for dealing on the stock exchanges operating in the IFSC? (Select all that apply)

A) Currency and interest rate derivatives
B) REITs and InviTs
C) Debt securities issued by eligible issuers
D) Equity shares of a company incorporated outside India
E) Depository receipts

2. In the context of the Indian Money Market, issuers must adhere to specific credit rating requirements to issue Commercial Paper (CP).
What is the minimum credit rating required from a Credit Rating Agency (CRA) for the issuance of CPs?

A) A2
B) A1
C) A3
D) AAA
E) BBB

3. Clearing Members are required to open specific demat accounts known as 'Clearing Member Settlement Pool Accounts' with depositories. Which of the following statements is legally and operationally ** TRUE** regarding these accounts?

A) Clients are prohibited from transferring shares directly into the member's pool account; all transfers must route through the Exchange.
B) Credits to this account are not permitted; it is used solely for delivering securities to the Clearing Corporation.
C) These accounts are strictly used for holding the member's long-term proprietary investments to separate them from client assets.
D) The clearing member acquires full beneficiary ownership rights over the securities transferred into this account.
E) The clearing member does not get any ownership or beneficiary rights over the shares held in these accounts.

4. Every clearing member is required to maintain a separate primary clearing account with a designated clearing bank. Which of the following operational restrictions applies to this account regarding withdrawals?

A) Funds can be withdrawn only in the self-name of the clearing member.
B) Withdrawals are strictly prohibited; funds must only be used for settlement obligations.
C) Funds can be withdrawn directly to third-party vendor accounts for operational expenses.
D) Funds can be withdrawn only after obtaining a No Objection Certificate (NOC) from the Stock Exchange.
E) Withdrawals are limited to 50% of the account balance on any given day.

5. Under the 'Beta version of T+0 rolling settlement cycle on optional basis', which of the following operational parameters regarding trading hours, price bands, and shortage handling is correctly defined?

A) The price band is fixed at +1-5% of the closing price in the regular T+1 market.
B) The trading session operates continuously from 09:15 AM to 3:30 PM.
C) Pay-in for T+0 sell obligations is allowed only by way of early pay-in using the block mechanism.
D) Security shortages are handled through an auction session conducted on the same day.
E) Netting of pay-in and pay-out obligations is permitted between T+1 and T+0 settlement cycles.

Solutions: