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

1. Under the SCORES 2.0 framework, if a complainant is dissatisfied with the resolution provided by the entity and requests a first review, the Designated Body (DB) may seek clarification from the entity. What is the specific timeline mandated for the Designated Body to submit the revised Action Taken Report (ATR) to the complainant after seeking such clarification?

A) Within 15 calendar days of the review sought
B) Within 7 calendar days of the review sought
C) Within 30 calendar days of the review sought
D) Within 21 calendar days of the review sought
E) Within 10 calendar days of the review sought

2. According to the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, from whom must an issuer obtain 'in-principle approval' for listing securities before issuing further shares, specifically in the case where the company is not listed on any exchange having nationwide trading terminals?

A) From any one recognized stock exchange having nationwide trading terminals
B) From the Registrar of Companies (ROC) where the company is registered
C) From all the stock exchange(s) in which the securities of the issuer are proposed to be listed
D) From the stock exchange with the highest trading volume in the previous financial year
E) Only from the Securities and Exchange Board of India (SEBI)

3. SEBI has mandated the Direct Pay-out of securities to client demat accounts. What is the specific operational consequence of this mandate regarding the revision of the securities pay-out timing in the T+1 settlement cycle?

A) The pay-out timing is revised from 1:30 PM to 3:30 PM.
B) The pay-out timing is synchronized with the funds pay-out at 10:30 AM.
C) The pay-out timing remains unchanged at 1 :30 PM.
D) The pay-out timing is deferred to T+2 day at 9:00 AM.
E) The pay-out timing is advanced from 1:30 PM to 11 AM.

4. To facilitate members in meeting their pay-in obligations for a subsequent settlement on a day with multiple settlements due to holidays, what specific requirement is imposed on Depositories regarding inter-depository transfers?

A) Depositories must process transfers instantly using the API-based immediate transfer mechanism.
B) Depositories must allow transfers only after the pay-out of the subsequent settlement is complete.
C) Depositories are required to waive the transaction charges for inter-depository transfers executed on such days.
D) Depositories shall facilitate inter-depository transfers within one hour and before pay-in for the subsequent settlement begins.
E) Depositories must suspend inter-depository transfers until all settlements for the day are concluded.

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

Solutions: