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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Stock brokers provide various types of research reports to assist investors. Specifically, what content is a 'Sector Research' report expected to cover to help investors in their decision-making process?

A) Detailed technical analysis of stock price movements and volume data for specific scrips.
B) Mathematical models for algorithmic trading strategies.
C) A comprehensive list of all IPOs expected to hit the market in the next financial year.
D) Confidential insider information regarding upcoming mergers and acquisitions.
E) Details on how an industry is faring and whether current policies favour the industry.

2. A stock broker intends to expand their business scope by offering Portfolio Management Services (PMS) and functioning as a Depository Participant. According to the regulatory framework for 'Other Services Provided by Brokers', which of the following statements accurately reflects the registration requirement for these additional services?

A) The existing stock broker registration with SEBI is comprehensive and covers all financial services including PMS and Depository services.
B) These services can be offered under a general 'Investment Advisory' license without specific product registration.
C) The broker needs to convert into a Non-Banking Financial Company (NBFC) to offer these services, but no separate SEBI registration is needed.
D) The broker must obtain separate registration/licenses from SEBI for each of the specific services like PMS and Depository services.
E) Registration is only required with the Stock Exchange for PMS, while Depository services require SEBI registration.

3. Select the correct statements regarding the 'Settlement of Funds' and 'Mode of Payment' compliance requirements for stock brokers.
(Select all that apply)

A) For clients with outstanding obligations on the settlement date, the broker may retain the requisite funds towards such obligations.
B) Brokers must maintain an audit trail of funds received through electronic fund transfers to ensure they are from the client's own account.
C) Authorization for maintaining a running account can be signed by the client's Power of Attorney (POA) holder.
D) All payments from/to clients must be strictly by account payee crossed cheques/demand drafts or direct credit into the bank account.
E) Brokers are permitted to accept cash from clients for margin purposes up to Rs. 20,000.

4. Which of the following benefits is explicitly granted to 'Accredited Investors' under the 'regulation-light framework'?

A) Guaranteed allocation in Initial Public Offers (IPOs)
B) Exemption from the lock-in period requirements for pre-IPO holdings
C) Exemption from payment of Securities Transaction Tax (STT)
D) Ability to participate in investment products with an investment amount lesser than the minimum amount mandated in respective regulations
E) Complete waiver of KYC documentation requirements

5. In the context of the 'Application Supported by Blocked Amount' (ASBA) facility processed by intermediaries in public issues, what is the critical pre-condition explicitly mandated by SEBI before the ASBA applications can be processed?

A) The syndicate member must issue a physical acknowledgement slip.
B) The application must be uploaded to the Exchange bidding platform.
C) The physical form must be received by the Registrar.
D) The application monies must be blocked in the investor's bank account.
E) The General Index Register (GIR) number must be verified.

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