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

1. A corporate stock broker with a net worth of Rs. 10 Crore wishes to offer the margin trading facility (MTF) to its clients. According to SEBI regulations, what is the maximum limit on the broker's total indebtedness for the purpose of margin trading and the maximum allowable exposure towards MTF?

A) Total Indebtedness: Rs. 100 Crore; Maximum Exposure: 5 times Net Worth
B) Total Indebtedness: Rs. 50 Crore; Maximum Exposure: Borrowed Funds + Rs. 5 Crore
C) Total Indebtedness: Rs. 30 Crore; Maximum Exposure: Borrowed Funds + Rs. 10 Crore
D) Total Indebtedness: Rs. 20 Crore; Maximum Exposure: Rs. 50 Crore
E) Total Indebtedness: Rs. 50 Crore; Maximum Exposure: Borrowed Funds + Rs. 10 Crore

2. Select the correct statements regarding the regulations governing the modification of Client Codes and Custodial Participant (CP) Codes for trades executed on Indian Stock Exchanges. (Select all that apply)

A) Shifting of trades to the 'error account' of the broker is not treated as modification of client code, provided the trades are subsequently liquidated.
B) Proprietary trades can be modified as client trades and vice versa if the request is made within 45 minutes of trade execution.
C) Modification between client codes of two unrelated institutional clients will be subject to penalty.
D) Members can modify the Custodial Participant (CP) Code on the T+1 day until 11 AM.
E) Stock Exchanges may allow modifications of client codes of non-institutional trades only to rectify a genuine error in entry of client code.

3. Which of the following statements accurately describe the principles and methodology for Corporate Actions Adjustment in the Equity F&O segment? (Select all that apply)

A) Adjustments for corporate actions are carried out only on positions that are In-The-Money (ITM); OTM positions are left unadjusted.
B) The basis for adjustment is that the value of the position on the cum-date and ex-date shall continue to remain the same as far as possible.
C) For Bonus issues, the new strike price is arrived at by multiplying the old strike price by the adjustment factor.
D) The adjustments for corporate actions would be carried out on all open positions.
E) Adjustments may entail modifications to Strike Price, Position, and Market Lot I Multiplier.

4. 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 Ex-Date of the corporate action before the start of market hours.
B) On the date of the Board Meeting where the corporate action was announced.
C) 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.
D) On the payout date of the relevant settlement cycle.
E) On the Record Date fixed by the company for the corporate action.

5. Which of the following statements are CORRECT regarding the Settlement of Securities in the Indian Cash Market? (Select all that apply)

A) Purchasers of securities are required to issue a fresh receipt instruction to their DP for every transaction, as standing instructions are prohibited.
B) Clients can authorize the broker via DDPI to access their BO account for the limited purpose of meeting pay-in obligations.
C) The securities direct pay-out mandated by SEBI is applicable to all clients, including those having arrangements with registered custodians.
D) As a consequence of Direct Payout, the timing of the securities payout has been revised to 3:30 PM.
E) In case of holidays, the CCs settle trades on a sequential basis, ensuring the pay-out of the first settlement is completed before the pay-in of the subsequent settlement.

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