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

1. Which of the following statements accurately reflect the regulatory framework and exposure limits for Margin Trading Facility (MTF)?
(Select all that apply)

A) Only corporate brokers with a net worth of at least Rs. 3 crore are eligible to provide MTF.
B) Collateral and Funded stocks need not be marked to market daily if they are Group 1 securities.
C) Exposure to any single client at any point of time shall not exceed 20% of the broker's maximum allowable exposure.
D) Stock brokers must obtain prior permission from the exchange before offering MTF.
E) Stock brokers shall disclose gross exposure towards MTF to the Stock Exchanges on or before 6:00 PM on T+1 day.

2. Apart from the primary clearing account, a Clearing Member is permitted to maintain an 'additional clearing account' with a designated clearing bank. For what specific operational purposes is this additional account utilized?

A) For collecting brokerage and statutory levies from clients.
B) For separating proprietary trading funds from client funds.
C) For the purpose of enhancement of collateral in the form of cash and providing early pay-in of funds.
D) For settlement of commodities derivatives trades only.
E) For receiving dividend payments from listed companies on behalf of clients.

3. 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 broker needs to convert into a Non-Banking Financial Company (NBFC) to offer these services, but no separate SEBI registration is needed.
B) The existing stock broker registration with SEBI is comprehensive and covers all financial services including PMS and Depository services.
C) These services can be offered under a general 'Investment Advisory' license without specific product registration.
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.

4. Regarding Indian Depository Receipts (IDRs) and the regulatory framework for their conversion or redemption into underlying equity shares, which of the following statements accurately reflects the permissible conditions?

A) The headroom for conversion is calculated based on the total paid-up capital of the issuing company rather than the specific number of IDRs issued.
B) Investors can request redemption into underlying shares at any time, but the underlying shares must be held by a domestic custodian registered with SEBI.
C) Redemption is permitted after 1 year from the date of listing, subject to available headroom calculated as originally issued IDRs minus outstanding IDRs adjusted for redemptions.
D) Two-way fungibility is strictly prohibited; investors can only convert underlying shares into IDRs but cannot redeem IDRs into shares.
E) Redemption is permitted immediately upon listing, provided the fungibility is restricted to one-way conversion from IDRs to shares only.

5. Which of the following services can a Depository Participant (DP) engage in, as explicitly listed in the NISM workbook? (Select all that apply)

A) Underwriting of Initial Public Offers (IPOs)
B) Receiving electronic credit in respect of securities allotted by issuers under IPO
C) Freezing of the demat account for debits, credits, or both
D) Issuing equity research reports for the depository
E) Pledging of dematerialized securities & facilitating loans against shares

Solutions: