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

1. In the context of corporate actions adjustment for * *Bonus, Stock Splits, and Consolidations** in the Equity F&O segment, how are the New Strike Price and New Market Lot determined relative to the Adjustment Factor?

A) New Strike Price = Old Strike Price Adjustment Factor; New Market Lot = Old Market Lot Adjustment Factor
B) New Strike Price =Old Strike Price Adjustment Factor; New Market Lot = Old Market Lot / Adjustment Factor
C) New Strike Price = Old Strike Price / Adjustment Factor; New Market Lot = Old Market Lot / Adjustment Factor
D) New Strike Price = Old Strike Price / Adjustment Factor; New Market Lot = Old Market Lot Adjustment Factor
E) New Strike Price = Old Strike Price + Adjustment Factor; New Market Lot = Old Market Lot - Adjustment Factor

2. A financial services firm applies for registration as a Portfolio Manager. They nominate Mr. X as the Principal Officer. Mr. X holds a professional qualification in finance from a recognized university. Regarding his experience, which of the following conditions MUST he satisfy to meet the eligibility criteria?

A) Experience of at least 3 years in related activities in the securities market, with at least 1 year in portfolio management.
B) Experience of at least 2 years in related activities in the securities market if he holds a CFA charter.
C) Experience of at least 5 years strictly as a stock broker or dealer in the equity derivatives segment.
D) Experience of at least 5 years in related activities in the securities market, including at least 2 years in portfolio management or investment advisory services or fund management.
E) Experience of at least 7 years in related activities in the securities market, with no specific requirement for portfolio management experience.

3. In the context of Interest Rate Derivatives traded on Indian exchanges, specifically for single bond futures on Government of India (GOI) securities, how is the final settlement price determined if the liquidity criteria in the underlying bond are not met during the last two hours of trading?

A) It is based on the polling of prices from the top 5 Primary Dealers if less than 10 trades are executed on the exchange.
B) If less than 5 trades are executed in the underlying bond during the last two hours, the FIMMDA/FBIL price shall be used.
C) It is the simple average of the best bid and ask prices available on the NDS-OM platform at 5:00 PM.
D) It is calculated based on the Value Weighted Average Price (VWAP) of the underlying bond executed during the last 30 minutes of trading on the NDS-OM platform.
E) It is derived from the theoretical price formula: Cash Price + Financing Cost - Income on cash position.

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

5. Which specific regulation defines a 'Clearing Corporation' as an entity established to undertake the activity of clearing and settlement of trades in securities or other instruments dealt on a recognized stock exchange?

A) Securities Contracts (Regulation) Rules, 1957
B) SEBI (Stock Brokers) Regulations, 1992
C) Depositories Act, 1996
D) Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2018
E) SEBI (Intermediaries) Regulations, 2008

Solutions: