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NISM NISM-Series-VII Exam Syllabus Topics:

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

Question 1

Under the cross-margining facility, if a client holds a long position in Index Futures and a corresponding short position in the constituent stock futures (in the ratio specified to replicate the index) with the **same expiry month**, what is the applicable * *spread margin* * levied on the eligible offsetting positions?

A. 100% of the higher margin of the two positions.
B. 40% of the total applicable margin.
C. 25% of the total applicable margin on the eligible offsetting positions.
D. 30% of the applicable upfront margin.
E. 0% (Total margin exemption).

Question 2

Regarding 'Two-factor authentication' for login sessions in Internet Based Trading (IBT), which of the following implementation details is explicitly advisable/required?

A. Two-factor authentication is optional and can be replaced by a static high-complexity password.
B. The second factor must always be biometric verification.
C. The two factors should be identical (e.g., two different passwords).
D. It should be implemented using only SMS-based OTP without any other factor.
E. Public Key Infrastructure (PKI) based implementation using digital signatures is advisable, and the two factors should not be the same.

Question 3

In the context of Back Office Operations, specifically regarding 'Trade Enrichment', which of the following best describes the process that occurs automatically after trade execution to prepare for clearing and settlement?

A. The netting of buy and sell positions to determine the final open position for the purpose of margin calculation.
B. The manual verification of the 'INST' Custodial Participant code against the clearing member's exposure limits.
C. The automatic appending of brokerage rates, GST, stamp duty, and Securities Transaction Tax (STT) to the raw trade data.
D. The splitting of a single institutional order into multiple sub-accounts based on deal sheets provided by the front office.
E. The generation of a unique client code (IJCC) and mapping it to the client's PAN before the order is routed to the exchange.

Question 4

What are the specific trading hours for the continuous trading session under the beta version of the T+0 rolling settlement cycle?

A. 09:15AM to 12:30 PM
B. 10:00 AM to 2:00 PM
C. 09:00 AM to 3:30 PM
D. 09:15 AM to 3:30 PM
E. 09:15AM to 1:30 PM

Question 5

Stock Exchanges are required to maintain an Investor Services Fund (ISF) distinct from the Investor Protection Fund (IPF). What is the specific contribution requirement from the Stock Exchange towards the ISF?

A. 5% of the transaction charges collected from members.
B. The penalty collected for client code modification.
C. 1% of the listing fees received, on a quarterly basis.
D. 100% of the interest earned on the 1% security deposit of issuer companies.
E. At least 20% of the listing fees received.

Solutions: