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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. In the T+1 rolling settlement cycle for institutional trades involving a Custodian, what is the specific deadline for the 'Obligation Transfer Request (OTR)' for trades where the 'INST' code was used?

A) 11:00 AM on T+1 Day
B) 7:30 AM on T+1 Day
C) 9:00 AM on T+1 Day
D) 8:00 PM on T Day
E) 4:15 PM on T Day

2. Under the SCORES 2.0 framework, if a complainant is dissatisfied with the resolution provided by the entity and requests a first review, the Designated Body (DB) may seek clarification from the entity. What is the specific timeline mandated for the Designated Body to submit the revised Action Taken Report (ATR) to the complainant after seeking such clarification?

A) Within 21 calendar days of the review sought
B) Within 15 calendar days of the review sought
C) Within 7 calendar days of the review sought
D) Within 10 calendar days of the review sought
E) Within 30 calendar days of the review sought

3. To ensure compliance with Margin Trading Facility (MTF) regulations, stock brokers are required to submit a certificate to the exchange.
What is the frequency and timeline for this submission?

A) Monthly; by the 7th of the succeeding month.
B) Annually; along with the Annual Returns by October 31st.
C) Quarterly; within 15 days from the end of the quarter.
D) Half-yearly; within one month from the half-year ending 31st March and 30th September.
E) Event-based; within 7 days of exceeding the exposure limits.

4. Various intermediaries play specific roles in the securities ecosystem. Which specific group of intermediaries is described as providing 'important infrastructure services' to both the primary and secondary markets?

A) Investment Advisors and Research Analysts
B) Merchant Bankers and Underwriters
C) Registrars and Transfer Agents, Custodians, and Depositories
D) Stock Brokers and Sub-brokers
E) Foreign Portfolio Investors (FPls) and Mutual Funds

5. For stock brokers providing Algorithmic Trading facilities, SEBI has mandated specific controls and audit requirements. Which of the following combinations correctly specifies the server location requirement and the frequency of system audits?

A) Server Location: India; Audit Frequency: Once at the time of approval
B) Server Location: Co-location facility only; Audit Frequency: Quarterly
C) Server Location: Any global location; Audit Frequency: Annually
D) Server Location: India; Audit Frequency: Every six months
E) Server Location: Broker's registered office only; Audit Frequency: Every two years

Solutions: