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

1. In the General Clearing Process for the Cash Segment under the T+1 rolling settlement cycle, by what specific time must the custodial confirmation of trades be completed on the T+1 day?

A) By 7:30 AM on T+1 Day
B) By 1:30 PM on T+1 Day
C) By 4:15 PM on T Day
D) By 11:00 AM 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 discrepancy in the demat account holding statement
B) Complaint regarding non-receipt of refund in an Initial Public Offer (IPO)
C) Complaint regarding non-receipt of dividend from a listed company
D) Complaint against a company where a moratorium order is passed in insolvency proceedings
E) Complaint regarding unauthorized trading by a registered stock broker

3. If a selling broker fails to deliver securities, the Clearing Corporation conducts an auction. If this auction remains unresolved because there are no sellers (Auction Fail), the transaction is subject to a 'Close out'. How is the close-out price calculated to compensate the buyer in such a scenario?

A) At the highest price prevailing across the exchange from the day of trading up to the auction day OR 20% above the official closing price on the auction day, whichever is higher.
B) At the average weighted trade price of the security during the last 5 trading sessions plus brokerage and statutory levies.
C) At the closing price of the securities on the auction day plus a fixed penalty of 5%.
D) At the highest price recorded on the exchange on the trade day only, irrespective of subsequent price movements.
E) At the standard valuation price determined by the Clearing Corporation on the T+1 pay-in day.

4. Which of the following statements accurately reflect the operational requirements and functions of Clearing Members and Custodians in the Clearing Process? (Select all that apply)

A) Clearing Members must maintain a separate and distinct clearing bank account with a designated clearing bank.
B) It is mandatory for clearing members to open demat accounts with both depositories (CDSL and NSDL) known as clearing member settlement pool accounts.
C) Custodians are required to confirm whether they will settle a trade assigned to them; if they fail to confirm, the onus of settlement falls on the executing trading member.
D) Clearing Members can withdraw funds from their designated clearing bank account in favor of third-party vendors for operational expenses.
E) Clearing Members act as the legal counterparty to all trades through the process of novation, replacing the Clearing Corporation.

5. To safeguard client funds during the running account settlement process, SEBI has stipulated specific banking procedures. Which of the following statements correctly describes the requirement regarding the 'Up Streaming Client Nodal Bank Account' (USCNBA) during settlement?

A) USCNBA funds must be transferred to the Clearing Corporation's settlement account before being paid out to clients.
B) The USCNBA is used only for receiving funds from the Exchange, while client receipts are deposited in the Settlement Account.
C) Trading Members must ensure that funds received from clients whose running account has been settled remain in the USCNBA and are not used to settle other clients.
D) Funds in the USCNBA can be used for inter-client adjustments if the clients have provided specific consent in the KYC form.
E) Funds can be moved to the broker's proprietary account temporarily to facilitate faster settlement payouts.

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