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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. The regulations concerning 'Settlement dues' specify the types of funds obligations a clearing member must discharge at the notified time to avoid disciplinary actions. Which of the following combinations correctly represents the scope of these obligations?

A) Settlement dues and Transaction charges only
B) Margin money and Base Minimum Capital (BMC) deposit only
C) Settlement dues and Securities Transaction Tax (STT) only
D) Non-settlement dues and Stamp Duty only
E) Settlement dues, Margin money, or Non-settlement dues

2. Which of the following statements accurately reflect the 'Additional Requirements' and operational controls mandated for Internet Based Trading (IBT) and Securities Trading Using Wireless Technology (STWT)? (Select all that apply)

A) The broker shall capture the IP (Internet Protocol) address from where the orders are originating.
B) Brokers using Internet based systems are permitted to cross trades of their clients with each other internally to save transaction costs.
C) The broker system should have on-site as well as remote site back-up capabilities.
D) In case of no activity by the client, the system should provide for automatic trading session logout.
E) Encryption levels for communication are governed solely by the Stock Exchange's internal policy, independent of DOT regulations.

3. For the computation of initial margins in the Equity Derivatives segment using the SPAN methodology, how is the **Price Scan Range** determined for **lndex Derivatives** (standard contracts)?

A) Based on 3.5 sigma scaled up by root 3.
B) 25% of annualized EWMA volatility subject to minimum 10%.
C) Based on 6 sigma, scaled up by √2, subject to a minimum of 14.2% of the underlying price.
D) Based on 6 sigma, scaled up by √2, subject to a minimum of 9.3% of the underlying price.
E) Flat rate of 10% of the contract value.

4. Entities operating in the IFSC at GIFT City are recognized as non-resident entities under FEMA regulations. Which combination of fiscal incentives is explicitly available to these entities?

A) Waiver of Import Duty on Gold and Silver only.
B) Exemption from Stamp Duty and Registration Fees only.
C) Exemption from GST only.
D) Rebate on Corporate Tax for the first 2 years only.
E) Exemption from Security Transaction Tax (STT), Commodity Transaction Tax (CT T), Dividend Distribution Tax (DDT), and Capital Gains waiver.

5. What specific regulatory benefit regarding reserve requirements is accorded to funds borrowed through the Triparty Repo Dealing System (TREPS) in India?

A) Eligibility for priority sector lending classification
B) Waiver of stamp duty on the underlying collateral
C) Exemption from Securities Transaction Tax (STT)
D) Automatic guarantee by the Central Government
E) Exemption from RBI's CRR/SLR computation

Solutions: