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

1. According to RBI guidelines for issuance, which of the following combinations correctly specifies the minimum denomination, maturity range, and minimum credit rating required for a Commercial Paper (CP)?

A) ?5 lakh and multiples thereof; 7 days to 1 year; Rating 'A3'
B) ?25 lakh and multiples thereof; 30 days to 1 year; Rating 'A1'
C) ? 1 lakh and multiples thereof; 15 days to 1 year; Rating 'A2'
D) ? 10 lakh and multiples thereof; 7 days to 1 year; Rating 'AA'
E) ?5 lakh and multiples thereof; 15 days to 3 years; Rating 'A3'

2. Which of the following statements accurately reflect the regulatory framework and exposure limits for Margin Trading Facility (MTF)?
(Select all that apply)

A) Stock brokers shall disclose gross exposure towards MTF to the Stock Exchanges on or before 6:00 PM on T+1 day.
B) Only corporate brokers with a net worth of at least Rs. 3 crore are eligible to provide MTF.
C) Stock brokers must obtain prior permission from the exchange before offering MTF.
D) Collateral and Funded stocks need not be marked to market daily if they are Group 1 securities.
E) Exposure to any single client at any point of time shall not exceed 20% of the broker's maximum allowable exposure.

3. Regarding the operation of the 'Clearing Bank Account' maintained by a Clearing Member, which of the following operational restrictions is explicitly mandated to ensure the account is used exclusively for clearing and settlement operations?

A) Clearing members are prohibited from depositing proprietary funds into this account; only client funds are permitted.
B) Clearing members can deposit funds in any form but can withdraw funds from these accounts only in self-name.
C) Withdrawals are permitted only after obtaining a 'No Objection Certificate' from the Clearing Corporation for each transaction.
D) The account must maintain a minimum balance equal to the Base Minimum Capital (BMC) at all times.
E) Funds can be deposited only via Demand Drafts and withdrawn only via electronic transfer.

4. When a stock broker undertakes 'Video In-Person Verification' (VIPV) for client on-boarding through a digital medium, which of the following operational conditions must be strictly ensured?

A) The client is not required to display the officially valid document in the video if Aadhaar e-KYC is used.
B) The VIPV recording is optional if the client provides a digitally signed self-declaration.
C) The VIPV process can be fully automated using Artificial Intelligence without the need for any authorized official's interaction.
D) The VIPV must be conducted offline and the recording uploaded to the KRA system later.
E) The intermediary shall ensure that the photograph downloaded through the Aadhaar authentication process matches with the investor in the VIPV.

5. Under the cross-margining facility, if a client holds a long position in Index Futures and a corresponding short position in the constituent stock futures (in the ratio specified to replicate the index) with the **same expiry month**, what is the applicable * *spread margin* * levied on the eligible offsetting positions?

A) 25% of the total applicable margin on the eligible offsetting positions.
B) 0% (Total margin exemption).
C) 100% of the higher margin of the two positions.
D) 40% of the total applicable margin.
E) 30% of the applicable upfront margin.

Solutions: