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

1. To safeguard client funds during the running account settlement process, SEBI has stipulated specific banking procedures. Which of the following statements correctly describes the requirement regarding the 'Up Streaming Client Nodal Bank Account' (USCNBA) during settlement?

A) USCNBA funds must be transferred to the Clearing Corporation's settlement account before being paid out to clients.
B) Funds in the USCNBA can be used for inter-client adjustments if the clients have provided specific consent in the KYC form.
C) Funds can be moved to the broker's proprietary account temporarily to facilitate faster settlement payouts.
D) The USCNBA is used only for receiving funds from the Exchange, while client receipts are deposited in the Settlement Account.
E) Trading Members must ensure that funds received from clients whose running account has been settled remain in the USCNBA and are not used to settle other clients.

2. Regarding the execution of transfer instructions, under what condition is a Depository Participant (DP) permitted to register the transfer of securities from a beneficial owner's account?

A) Whenever the account balance falls below the minimum required balance
B) Only on receipt of instructions from the beneficial owner and thereafter confirming the same to the beneficial owner
C) Immediately upon receipt of a market rumour regarding the security
D) Upon implied consent derived from the client's trading pattern
E) Based on a standing instruction from the Stock Exchange for all accounts

3. A Trading Member executes trades in both T+1 and T+0 settlement cycles for the same security on the same day. Which of the following statements correctly describes the netting of obligations between these two segments?

A) Funds are netted across segments, but securities are settled separately.
B) Netting is permitted only if the member opts for the 'Unified Settlement' facility.
C) Sell obligations in T+0 are netted against Buy obligations in T+1 to reduce margin requirements.
D) Obligations are netted at the client level but not at the member level.
E) There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycle.

4. In the context of the Cash Market segment, how is the role of a 'Custodian' distinct from that of a standard Trading Member regarding the settlement of trades?

A) Custodians settle trades only for retail clients who do not have a valid PAN.
B) Custodians act as Clearing Members but not Trading Members; they settle trades on behalf of institutional clients executed through other Trading Members.
C) Custodians automatically guarantee all trades executed by any Trading Member without the need for trade confirmation.
D) Custodians execute trades on the exchange floor but outsource the clearing function to Professional Clearing Members.
E) Custodians are primarily responsible for the proprietary trading of the Clearing Corporation.

5. Regarding the settlement timelines for Mutual Fund transactions executed on the Stock Exchange platform, which of the following statements accurately describes the funds pay-in requirement for subscription and the funds pay-out timeline for redemption?

A) Funds pay-in for subscription: T+1 ; Funds pay-out for redemption: T+2.
B) Funds pay-in for subscription: T+0; Funds pay-out for redemption: T+1 to T+7 depending on the scheme.
C) Funds pay-in for subscription: T+0; Funds pay-out for redemption: T+0 for Liquid funds and T+2 for Equity funds.
D) Funds pay-in for subscription: T+2; Funds pay-out for redemption: T+3.
E) Funds pay-in for subscription: T+1 ; Funds pay-out for redemption: T+1 for all schemes.

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