NISM Series VII - Securities Operations and Risk Management Certification - NISM-Series-VII

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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. If an auction seller, who participated to fulfill a short delivery, fails to deliver the securities on the auction pay-in day, the deal is closed out. What is the specific pricing formula used to charge the defaulting auction seller in this instance?

A) Official closing price on the close out day plus the auction premium.
B) The price at which the auction offer was originally accepted plus a 5% penalty.
C) The maximum price of the security recorded during the entire settlement cycle.
D) Highest price from trade day to close out day OR 20% over official closing price on the close out day, whichever is higher.
E) Highest price prevailing on the Exchange on the auction day only.

2. In the case of a declaration of 'extra-ordinary' dividend by a company, how is the adjustment applied to the Futures contracts on that stock?

A) The futures contract is compulsorily closed out and a new contract is introduced at the ex-dividend price.
B) No adjustment is made to futures contracts; adjustments are applicable only to option strike prices.
C) The total dividend amount is added to the Daily Settlement Price.
D) All open positions shall be carried forward at the daily settlement price less the dividend amount.
E) The market lot of the futures contract is increased in proportion to the dividend yield.

3. Identify the category of Clearing Member that possesses both trading and clearing rights and is authorized to clear and settle trades for themselves, other trading members, and custodial participants.

A) Custodian
B) Authorized Person
C) Trading cum Self-Clearing Member (SCM)
D) Professional Clearing Member (PCM)
E) Trading Member-cum-Clearing Member (TCM)

4. A registered Trading Member desires to clear and settle trades executed by them on their own account as well as for their clients. However, they specifically do not intend to clear trades for 'Custodial Participants'. Which category of membership on the Clearing Corporation corresponds strictly to these operational rights and limitations?

A) Custodian
B) Authorized Person
C) Trading cum Self-Clearing Member (SCM)
D) Professional Clearing Member (PCM)
E) Trading Member-cum-Clearing Member (TCM)

5. With the implementation of direct pay-out of securities to client accounts by Clearing Corporations, what is the revised timing for the pay- out of securities in the T+1 rolling settlement cycle?

A) 1:30 PM on T+1 day
B) 10:30 AM on T+1 day
C) 3:30 PM on T+1 day
D) 9:00 AM on T+2 day
E) End of Day (EOD) on T day

Solutions: