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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. To participate in the trading of mutual fund units through the stock exchange trading platform, a trading member must fulfill specific criteri a. Which of the following combinations accurately represents the mandatory requirements for a trading member to place orders for a specific Mutual Fund Company?

A) Be a registered Depository Participant, hold a valid ARN, and have a dedicated Mutual Fund desk with at least two certified employees.
B) Register directly with SEBI as an Investment Adviser, hold a valid ARN, and execute a Service Level Agreement with the Clearing Corporation.
C) Hold an AMFI Registration Number (ARN), pass the relevant NISM certification examination, and register as a distributor with the specific Mutual Fund Company.
D) Hold a valid SEBI Registration as a Portfolio Manager, pass the NISM Series-V-A examination, and register with the Association of Mutual Funds in India (AMFI).
E) Obtain a specific 'MF-Trading' license from the Stock Exchange, maintain a minimum net worth of Rs. 50 Lakhs, and hold a valid ARN.

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

3. The relationship between a Depository Participant (DP) and a Depository is governed by an agreement. According to the regulatory norms, where is the form of this agreement specified?

A) In the Master Circular for Depositories issued by RBI
B) In the SEBI (Stock Brokers) Regulations, 1992
C) In the Securities Contracts (Regulation) Rules, 1957
D) In the bye-laws of the Depository
E) In the Articles of Association of the Depository Participant

4. The Clearing Corporation (CC) provides the Early Pay-In (EPI) benefit to a client under the block mechanism based on specific matching criteri a. What data points does the CC match to grant this benefit?

A) The CC matches the trade ID provided by the Exchange with the execution date in the physical Delivery Instruction Slip.
B) The CC matches the gross sell obligations of the Trading Member with the total quantity blocked in the depository system.
C) The CC matches the order time stamp with the block creation time stamp to ensure the block was created pre-trade.
D) The CC matches the client's available margin in the cash segment with the value of securities blocked.
E) The CC matches the client level net obligations with the Block details provided by the depositories.

5. When implementing the recommended Web Interfaces and Protocols between a Trading Web Server and Trading Client Terminals for IBT, which technical standards are suggested for adoption?

A) POP3 and IMAP protocols
B) HTTP Ver 4 or above and HTML Ver 4/XML
C) FTP Ver 2 or above and SMTP
D) WAP 1.0 and WML only
E) Telnet and Gopher protocols

Solutions: