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

1. The secondary market operates through different mediums with distinct settlement mechanisms. Which of the following statements accurately differentiates the Over-The-Counter (OTC) market from the Exchange Traded Market?

A) OTC markets are informal markets where trades are negotiated and settled bilaterally.
B) Exchange Traded Markets do not adhere to a fixed time schedule for settlement.
C) Exchange Traded Markets allow buyers and sellers to know each other's identity directly.
D) OTC markets consist of standardized contracts traded on a screen-based system.
E) OTC markets use a centralized Clearing Corporation to guarantee all trades.

2. Regarding the usage of the 'INST' code in the Custodial Participant field during order entry for Foreign Portfolio Investors (FPIs), which of the following statements accurately reflects the restrictions placed on FPIs that are corporate bodies, individuals, or family offices?

A) The 'INST' code can be used only if the trade value exceeds INR 10 Crores.
B) They are strictly prohibited from using the 'INST' code and must provide the specific CP code at the time of order entry.
C) They can use the 'INST' code without restriction, provided the allocation is completed by 4:15 PM on T day.
D) The 'INST' facility is available, but allocation for such trades is allowed only to related FPIs.
E) They must use a special 'CORP' code instead of 'INST' to differentiate themselves from non-corporate institutional investors.

3. Stock Exchanges are required to maintain Investor Service Centres (ISCs) to assist investors. Which of the following facilities is mandatorily required to be provided at all ISCS according to SEBI guidelines?

A) A library containing all annual reports of listed companies for the last 10 years.
B) Arbitration and appellate arbitration facility including video-calling facility.
C) A banking counter for immediate disbursement of Investor Protection Fund claims.
D) A dedicated legal aid clinic with free lawyers for filing civil suits.
E) A direct hotline to the Ministry of Finance.

4. Certain types of complaints fall outside the purview of the SEBI Complaints Redress System (SCORES). Which of the following is explicitly NOT dealt with through SCORES?

A) Complaints against registered stock brokers regarding non-receipt of funds.
B) Complaints regarding unauthorized trading by a sub-broker.
C) Complaints against listed companies regarding non-receipt of dividends.
D) Complaints regarding dematerialization delays by a Depository Participant.
E) Complaints against companies where a moratorium order is passed in insolvency proceedings.

5. Regarding the operational parameters for the beta version of the T+0 rolling settlement cycle, how is the price band determined and re-calibrated during the trading session?

A) It mirrors the price band of the T+1 market exactly, including any circuit breaker halts.
B) It is dynamically linked to the futures market price with a variance of 0.5%.
C) It is set at +1- 10% of the opening price of the T+0 market and remains static throughout the continuous trading session.
D) It operates with a price band of +100 basis points from the price in the regular T+1 market, re-calibrated after every 50 basis points movement in the underlying T+1 market.
E) It is fixed at +1-5% of the previous day's closing price without any intraday recalibration.

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