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

1. A stock broker receives a request from a client to maintain a running account for funds to avoid frequent pay-ins and pay-outs. Regarding the authorization for this running account, which of the following conditions is **MANDATORY** for the broker to accept the request?

A) The actual settlement of funds must be done at least once in a financial year.
B) The authorization must be signed by the client only and cannot be signed by any Authorized Person or POA holder.
C) The authorization automatically allows the broker to transfer funds between different clients to manage temporary shortages.
D) The authorization is valid for a lifetime unless the broker decides to revoke it due to risk management concerns.
E) The authorization can be signed by the Power of Attorney (POA) holder if the client is traveling abroad.

2. Which of the following instruments is specifically defined as a rupee-denominated bond issued outside India by Indian entities to raise money in local currency from foreign investors?

A) Indian Depository Receipts (IDRs)
B) Global Depository Receipts (GDRs)
C) Foreign Currency Convertible Bonds (FCCBs)
D) American Depository Receipts (ADRs)
E) Masala Bonds

3. According to the SEBI (Prohibition of Insider Trading) Regulations, 2015, certain categories of persons are 'deemed to be connected persons' unless the contrary is established. Which of the following entities fall under this 'deemed' category?

A) An official of a stock exchange or clearing corporation.
B) A concern, firm, or HUF wherein a director of the company has more than 10% of the holding of interest.
C) A holding company or subsidiary company of the listed entity.
D) A person who has been associated with the company in any capacity 8 months prior to the trade.
E) A banker of the company.

4. Clearing Members are required to open specific demat accounts known as 'Clearing Member Settlement Pool Accounts' with depositories. Which of the following statements is legally and operationally ** TRUE** regarding these accounts?

A) These accounts are strictly used for holding the member's long-term proprietary investments to separate them from client assets.
B) The clearing member does not get any ownership or beneficiary rights over the shares held in these accounts.
C) Credits to this account are not permitted; it is used solely for delivering securities to the Clearing Corporation.
D) Clients are prohibited from transferring shares directly into the member's pool account; all transfers must route through the Exchange.
E) The clearing member acquires full beneficiary ownership rights over the securities transferred into this account.

5. In the context of the settlement of securities for sale transactions, specifically regarding the 'Demat Debit and Pledge Instruction' (DDPI), which of the following statements accurately defines the scope of authorization given by the client to the stock broker?

A) It grants full power of attorney to the broker to buy and sell securities without specific trade instructions from the client.
B) It authorizes the broker to transfer securities for off-market trades between unrelated parties to settle personal debts of the client.
C) It allows the broker to pledge the client's securities with a Non-Banking Financial Company (NBFC) to raise working capital for the brokerage firm.
D) It explicitly authorizes the broker to access the client's beneficial owner account for the limited purpose of transferring securities to the broker's pool account to meet pay-in obligations.
E) It is a mandatory requirement for opening a demat account and cannot be revoked by the client under any circumstances.

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