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

1. The Clearing Corporation performs three main functions: clearing, settlement, and risk management. Which of the following statements accurately defines the specific scope of the 'clearing' function?

A) It is the process designed to work out what members are due to deliver and what members are due to receive on the settlement date.
B) It is the mechanism of linking multiple depositories to facilitate inter-depository transfers.
C) It is the two-way process which involves the actual transfer of funds and securities on the settlement date.
D) It involves the handling of exceptional situations like auction settlement and bad delivery.
E) It is the process of collecting margins and maintaining the Core Settlement Guarantee Fund.

2. In the case of a **Demerger** where the conditions for re-introducing derivative contracts on the post-restructured company are met, what happens to the *existing* derivative contracts on the pre-restructured company?

A) They are suspended for 3 days and re-listed with new lot sizes on the ex-date.
B) They are automatically converted into contracts of the resultant demerged entity based on the demerger ratio.
C) They are cash-settled immediately at the average price of the last 6 months.
D) All existing contracts of the security shall be expired on the last cum date.
E) They continue to trade with adjusted strike prices until the original expiry date.

3. Which of the following facilities are normally offered by a stock broker's outlet as part of their diversified services? (Select all that apply)

A) Issuance of Indian Currency
B) Internet-based Online Trading (IBT)
C) Mobile trading & Smart Order Routing (SOR)
D) Margin funding
E) Investment advice & Research reports

4. In the context of the clearing and settlement ecosystem, the Clearing Corporation assumes the role of a legal counterparty to all trades executed on the Stock Exchange. What is the specific legal term for this process where the original contract between the buyer and seller is replaced by two new contracts with the Clearing Corporation?

A) Novation
B) Indemnification
C) Arbitration
D) Adjudication
E) Subrogation

5. In the context of the operations of a Depository Participant (DP), what is identified as the 'main activity' pursuant to the trading activity of an investor?

A) Receiving non-cash corporate benefits like bonus shares
B) Dematerialization of physical securities
C) Freezing of the demat account for debits or credits
D) Pledging of dematerialized securities
E) Settlement and transfer of securities from one beneficiary account to another

Solutions: