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

1. In the context of adjustments for corporate actions such as Bonus, Rights, or Mergers in the Equity F&O segment, at what specific point in time is the adjustment carried out?

A) On the last day on which a security is traded on a 'cum' basis in the underlying equities market after the close of trading hours.
B) On the payout date of the relevant settlement cycle.
C) On the Ex-Date of the corporate action before the start of market hours.
D) On the Record Date fixed by the company for the corporate action.
E) On the date of the Board Meeting where the corporate action was announced.

2. Under the 'Beta version of T+0 rolling settlement cycle on optional basis', which of the following operational parameters regarding trading hours, price bands, and shortage handling is correctly defined?

A) The price band is fixed at +1-5% of the closing price in the regular T+1 market.
B) Pay-in for T+0 sell obligations is allowed only by way of early pay-in using the block mechanism.
C) Netting of pay-in and pay-out obligations is permitted between T+1 and T+0 settlement cycles.
D) The trading session operates continuously from 09:15 AM to 3:30 PM.
E) Security shortages are handled through an auction session conducted on the same day.

3. In the context of the securities market structure, identifying the correct classification of an issue is critical for regulatory compliance. If an issuer raises resources by issuing shares to a select group of persons rather than the general public, how is this issuance technically classified?

A) Bonus Issue
B) Rights Issue
C) Private Placement
D) Follow on Public Offer (FPO)
E) Initial Public Offer (IPO)

4. Regarding the beta version of the T+0 rolling settlement cycle introduced on an optional basis, which of the following operational parameters is mandated by SEBI?

A) Securities shortages in the T+0 market shall be handled by conducting an auction session on T+1 day.
B) Trading hours for the T+0 segment shall be identical to the T+1 segment, i.e., 09:15 AM to 3:30 PM.
C) The price band in the T+0 segment will be fixed at +1- 10% of the previous day's closing price.
D) There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycle.
E) Netting of pay-in and pay-out obligations is permitted between T+1 and T+0 settlement cycles to improve liquidity.

5. An 'Accreditation Agency' issues an accreditation certificate to an investor. Under what specific condition regarding the investor's financial history is this certificate valid for a period of three years from the date of issuance?

A) If the applicant is a newly incorporated entity meeting the net-worth criteria as on the date of application
B) If the applicant meets the eligibility criteria in each of the preceding two financial years
C) If the applicant submits a bank guarantee equivalent to the net worth requirement
D) If the applicant is a Body Corporate with a Net Worth INR 50 Crore
E) If the applicant meets the eligibility criteria for the preceding one financial year

Solutions: