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

1. 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 library containing all annual reports of listed companies for the last 10 years.
C) Arbitration and appellate arbitration facility including video-calling facility.
D) A direct hotline to the Ministry of Finance.
E) A dedicated legal aid clinic with free lawyers for filing civil suits.

2. When a Partnership Firm registered under the Indian Partnership Act, 1932 applies for admission as a member of a Stock Exchange, which specific structural requirement must be identified and maintained as per Exchange norms?

A) A minimum of 51% of capital must be held by a designated clearing bank.
B) The applicant must identify a Dominant Promoter Group.
C) The firm must maintain a static profit-sharing ratio for 5 years.
D) The firm must convert to a Limited Liability Partnership within 1 year.
E) All partners must hold NISM Series-VII certification.

3. Stock brokers are required to report specific transactions to the Financial Intelligence Unit - India (FIU-IND) under the Prevention of Money Laundering Act. Which of the following combinations correctly specifies the submission timelines for the Cash Transaction Report (CTR), Suspicious Transaction Report (STR), and Non-Profit Organization Transaction Report (NTR)?

A) CTR: By 1 5th of succeeding month; STR: Within 24 hours of conclusion; NTR: By 30th of succeeding month.
B) CTR: By 7th of succeeding month; STR: Within 3 days of conclusion; NTR: By 7th of succeeding month.
C) CTR: By end of the quarter; STR: Within 15 days of conclusion; NTR: By end of the quarter.
D) CTR: By 10th of succeeding month; STR: Within 7 days of occurrence; NTR: By 10th of succeeding month.
E) CTR: By 15th of succeeding month; STR: Within 7 days of arriving at a conclusion; NTR: By 15th of succeeding month.

4. Regarding 'Market Makers' in the Indian securities market, which of the following statements regarding their mandatory obligations is correct?

A) Market making is restricted to the derivatives segment only
B) Market making has been made mandatory in respect of all scrips listed and traded on SME Exchanges
C) Market making is voluntary for all scrips listed on Small and Medium Enterprise (SME) Exchanges
D) Market makers are appointed solely by SEBI and not by the Exchanges
E) Market makers are required to provide only buy quotes to ensure exit options for investors

5. In the context of the Securities Trade Life Cycle, specific activities are categorized into Front Office, Middle Office, and Back Office operations. Based on the NISM workbook, which of the following combinations correctly maps these activities to their respective offices?

A) Front Office: Routing of order; Middle Office: Risk Management; Back Office: Confirmation of trades
B) Front Office: Trade Confirmation; Middle Office: Routing of order; Back Office: Order Matching
C) Front Office: Risk Management; Middle Office: Order Matching; Back Office: Clearing and Settlement
D) Front Office: Settlement; Middle Office: Order Matching; Back Office: Risk Management
E) Front Office: Clearing; Middle Office: Risk Management; Back Office: Placing of Order

Solutions: