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

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

1. Once a conciliator is appointed by the ODR Institution, what is the prescribed timeline for the disputing parties to reach an amicable resolution, and under what condition can this period be extended?

A) 21 calendar days, extendable for a maximum period of 10 calendar days by consent of the disputing parties.
B) 45 calendar days, with no provision for extension to ensure speedy disposal.
C) 15 calendar days, extendable by 7 days if the conciliator deems it necessary.
D) 10 calendar days, extendable by 10 calendar days upon payment of late fees.
E) 30 calendar days, extendable by 15 days upon approval by the MI.

2. To manage firm-level exposure, a broking firm must employ specific procedures. Which of the following activities is primarily associated with the 'Assessment of the Effectiveness of the Strategies, Policies and Procedures' in the risk management function?

A) Reporting compliance exceptions to the sales team for immediate rectification.
B) Setting trading limits for individual clients based on their income tax returns only.
C) Outlining investment guidelines solely for the purpose of maximizing proprietary trading profits.
D) Reviewing material changes to methodologies, models, and assumptions of risk management by the governing body.
E) Ensuring the front office staff executes orders without intervention from the risk department.

3. 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) 8:00 PM on T Day
D) 4:15 PM on T Day
E) 9:00 AM on T+1 Day

4. Which of the following statements accurately reflect the nature and regulation of 'Research Reports' provided by stock brokers? (Select all that apply)

A) Sector reports focus solely on the financial statements of a single company without considering industry policies.
B) Brokers are exempt from SEBI regulations when providing research reports if they are also registered as Merchant Bankers.
C) Research reports normally educate investors about industry trends and which company scrips to buy, sell, or hold.
D) Research advice and recommendations can be delivered online or via SMS.
E) Brokerage houses must comply with SEBI (Research Analysts) Regulation, 2014.

5. Under the framework where Unified Payment Interface (UPI) is used as a payment mechanism with ASBA for public issues, individual investors can submit their bid-cum-application forms with UPI IDs to which of the following entities? (Select all that apply)

A) A Depository Participant (eligible for this activity)
B) A Stock Broker registered with a recognised stock exchange (eligible for this activity)
C) The Reserve Bank of India designated cell
D) A Registrar to an issue and share transfer agent (eligible for this activity)
E) A Syndicate Member

Solutions: