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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. According to the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, from whom must an issuer obtain 'in-principle approval' for listing securities before issuing further shares, specifically in the case where the company is not listed on any exchange having nationwide trading terminals?

A) From the Registrar of Companies (ROC) where the company is registered
B) From all the stock exchange(s) in which the securities of the issuer are proposed to be listed
C) From the stock exchange with the highest trading volume in the previous financial year
D) Only from the Securities and Exchange Board of India (SEBI)
E) From any one recognized stock exchange having nationwide trading terminals

2. SEBI vide circular dated September 24, 2024, mandated the use of UPI for blocking funds for individual investors applying in public issues of debt securities up to Rs. 5 Lakh. However, a subsequent clarification dated October 18, 2024, permitted a specific alternative online submission method. What is this permitted alternative?

A) Submission via the dedicated mobile application of the Registrar and Transfer Agent.
B) Direct transfer of funds to the issuer's escrow account via NEFT/RTGS.
C) Submission through the General Ledger account of the Stock Broker.
D) Submission via physical ASBA forms at designated Self Certified Syndicate Banks (SCSBs).
E) Submission using the facility of linked online trading, demat, and bank account (3-in-l type accounts).

3. Stock brokers provide various types of research reports to assist investors. Specifically, what content is a 'Sector Research' report expected to cover to help investors in their decision-making process?

A) Mathematical models for algorithmic trading strategies.
B) Details on how an industry is faring and whether current policies favour the industry.
C) Confidential insider information regarding upcoming mergers and acquisitions.
D) Detailed technical analysis of stock price movements and volume data for specific scrips.
E) A comprehensive list of all IPOs expected to hit the market in the next financial year.

4. What is the primary benefit of 'Interoperability' among Clearing Corporations for a Clearing Member (CM)?

A) It mandates the CM to maintain separate settlement accounts for each Exchange, thereby segregating risk.
B) It enables the CM to select a single Clearing Corporation to clear and settle trades executed on multiple stock exchanges.
C) It allows the CM to execute trades on the Exchange without maintaining a Base Minimum Capital.
D) It allows the CM to act as a Custodian for institutional clients without separate registration.
E) It guarantees that the CM will receive interest on the cash component of the Core Settlement Guarantee Fund.

5. Which of the following benefits is explicitly granted to 'Accredited Investors' under the 'regulation-light framework'?

A) Ability to participate in investment products with an investment amount lesser than the minimum amount mandated in respective regulations
B) Exemption from the lock-in period requirements for pre-IPO holdings
C) Guaranteed allocation in Initial Public Offers (IPOs)
D) Exemption from payment of Securities Transaction Tax (STT)
E) Complete waiver of KYC documentation requirements

Solutions: