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

1. Which of the following statements accurately reflect the operational requirements and functions of Clearing Members and Custodians in the Clearing Process? (Select all that apply)

A) Clearing Members must maintain a separate and distinct clearing bank account with a designated clearing bank.
B) Clearing Members can withdraw funds from their designated clearing bank account in favor of third-party vendors for operational expenses.
C) Clearing Members act as the legal counterparty to all trades through the process of novation, replacing the Clearing Corporation.
D) It is mandatory for clearing members to open demat accounts with both depositories (CDSL and NSDL) known as clearing member settlement pool accounts.
E) Custodians are required to confirm whether they will settle a trade assigned to them; if they fail to confirm, the onus of settlement falls on the executing trading member.

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

3. Regarding participation in the International Financial Services Centres (IFSC), which of the following categories of resident investors is eligible to deal in securities listed in IFSC?

A) Only resident corporate entities with a net worth exceeding Rs. 100 Crore.
B) Any resident individual irrespective of investment limit.
C) Only resident Qualified Institutional Buyers (QIBs).
D) Residents are strictly prohibited from dealing in securities listed in IFSC.
E) A person resident in India eligible under FEMA to invest funds offshore, to the extent allowed under the Liberalized Remittance Scheme (LRS).

4. Stock Exchanges are required to maintain Investor Service Centres (ISCs) to assist investors. Which of the following facilities is mandatorily required to be provided at all ISCS according to SEBI guidelines?

A) A dedicated legal aid clinic with free lawyers for filing civil suits.
B) Arbitration and appellate arbitration facility including video-calling facility.
C) A banking counter for immediate disbursement of Investor Protection Fund claims.
D) A library containing all annual reports of listed companies for the last 10 years.
E) A direct hotline to the Ministry of Finance.

5. Which of the following is typically listed as a distinct facility offered by a stock broker's outlet to facilitate advanced trading strategies and execution for clients?

A) Currency printing and minting
B) Algorithmic trading
C) Formulation of Monetary Policy
D) Adjudication of securities disputes as a Court
E) Issuance of Sovereign Gold Bonds as an Issuer

Solutions: