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

1. Which of the following statements accurately reflect the regulatory requirements regarding the 'Statement of Accounts' and dispute resolution related to the settlement of funds? (Select all that apply)

A) The Statement of Accounts must contain an extract from the client ledger for funds and the register of securities.
B) The actual settlement of funds must be done by the broker at least once in a calendar quarter or month, depending on the client's preference.
C) Clients must bring any dispute arising from the statement of running account to the notice of the broker within 30 working days from the date of the statement.
D) Brokers are permitted to perform inter-client adjustments for the purpose of settlement if the total fund balance at the broker level is sufficient.
E) If a client requests a return of funds lying with the Clearing Corporation, the broker must transfer them within 7 working days.

2. Which of the following statements accurately describe the operational procedures and timelines within the Clearing Process of the Indian securities market (Cash Segment)? (Select all that apply)

A) Modification of the Custodial Participant (CP) code is permitted on T day up to 4:15 pm.
B) Institutional trades are subject to upfront margin collection similar to retail client trades.
C) Clearing Members are required to maintain a single consolidated clearing account for all segments (Cash, Derivatives, Debt) to facilitate netting.
D) Final obligations for funds and securities are downloaded to members by the Clearing Corporation on T+1 day by 9:00 am.
E) The Clearing Corporation performs multilateral netting to determine the net settlement obligations of clearing members.

3. Identify the correct expiry and settlement logic for Currency Derivative contracts (USD-INR) traded on Indian stock exchanges.

A) Contracts expire on the 1 5th of every month; Settlement is cash settled based on the crossing of FCY-INR rates.
B) Contracts expire two working days prior to the last business day of the month; Final Settlement Price is the average spot rate of the last 30 minutes.
C) Contracts expire on the last Thursday of the month; Settlement is physical delivery of the foreign currency.
D) Contracts expire two working days prior to the last business day of the expiry month at 12:30 pm; Final Settlement Price is the FBIL reference rate.
E) Contracts expire on the last working day of the month; Final Settlement Price is the RBI Reference Rate.

4. Regarding the 'Default Waterfall' in the context of the Net Settlement mechanism for Cash and F&O segments, which of the following statements is correct?

A) Default losses are covered solely by the Investor Protection Fund (IPF) in the case of net settlement defaults.
B) Clearing Corporations continue to maintain segment-wise default waterfalls, and losses are computed on the basis of segment-wise obligations on a pro-rata basis.
C) The Core Settlement Guarantee Fund (SGF) of the F&O segment is utilized first for any default arising from the net settlement obligation.
D) Clearing Corporations create a unified single default waterfall covering both segments to match the merged settlement.
E) The default waterfall is triggered only after liquidating the defaulting member's proprietary assets across all exchanges.

5. For the purpose of corporate action adjustments in the Equity F&O segment, under what specific condition is a dividend deemed to be 'extra-ordinary', thereby necessitating an adjustment to the futures and options contracts?

A) If the dividend amount is at and above 2% of the market value of the underlying security.
B) If the dividend amount exceeds 10% of the closing price of the scrip on the record date.
C) If the dividend declared is more than 5% of the paid-up capital of the company.
D) If the dividend is declared as an 'interim' dividend rather than a 'final' dividend.
E) If the dividend yield exceeds the risk-free interest rate (MIBOR) prevailing on the declaration date.

Solutions: