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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Regarding the utilization of interest or income received out of investments made from the Investor Protection Fund (IPF), which of the following statements accurately reflects the regulatory mandate for ploughing back funds into the corpus?

A) The entire interest income must be transferred to the Investor Services Fund (ISF) annually.
B) 100% of the interest or income received every year must be strictly used for settling claims and cannot be reinvested.
C) At least 70% of interest or income from IPF received every year shall be ploughed back to IPF.
D) Only the interest earned on the security deposit of the issuer companies is ploughed back; other income is free for use.
E) At least 50% of the interest or income must be ploughed back, while the remaining 50% can be used for administrative expenses.

2. A purchaser of securities wishes to streamline the process of receiving securities into their demat account. What are the permissible modes for a client to handle receipt instructions with their Depository Participant (DP)?

A) The client must grant a Power of Attorney to the Clearing Corporation to auto-credit securities.
B) Receipt instructions are not required at all as the Clearing Corporation has a unilateral right to credit any account.
C) Standing instructions are only valid for government securities and not for equity shares.
D) The client can give a one-time standing instruction to the DP for receiving securities, or choose to issue separate receipt instructions for each purchase.
E) The client must mandatorily issue a separate physical receipt instruction for every single trade.

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

4. Under the SCORES 2.0 mechanism, complaints are monitored by a 'Designated Body' to ensure timely redressal. Who acts as the Designated Body for complaints lodged against a Stock Broker?

A) The Investor Protection Fund Trust
B) The Association of Mutual Funds in India (AMFI)
C) Securities and Exchange Board of India (SEBI)
D) The Stock Exchange
E) The Depository (NSDL or CDSL)

5. Which of the following statements correctly reflect the regulatory framework and operational guidelines for the trading of Mutual Fund units on Stock Exchange Platforms? (Select all that apply)

A) Stock brokers are permitted to pool funds in a specific 'Mutual Fund Nodal Account' before transferring to the Clearing Corporation.
B) For both demat and non-demat mode transactions, units shall be credited/debited directly to/from the investors' account without routing through the broker's pool account.
C) Only stock brokers can access the Exchange platform for Mutual Funds; Mutual Fund Distributors are explicitly excluded.
D) Asset Management Companies (AMCs) must enter into an agreement with the Exchange/Clearing Corporation to provide this mechanism.
E) Funds pay-in is directly received by the clearing corporation from the investor account and funds pay-out is directly made to the investor account.

Solutions: