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

1. In the context of the validation process for Pay-In of securities from a client's demat account to the Member Pool Account, how do Depositories handle a specific transfer instruction where the quantity specified in the instruction exceeds the client-wise net delivery obligation provided by the Clearing Corporation?

A) The instruction is rejected in its entirety due to the discrepancy in quantity.
B) The instruction is processed fully, but the excess securities are immediately returned to the client's account by the Clearing Member.
C) The instruction is processed fully, creating an excess balance in the Member Pool Account which is flagged for audit.
D) The instruction is partially processed by the depositories up to the matching obligation quantity.
E) The instruction is kept pending until the Clearing Corporation updates the obligation to match the instruction.

2. 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 21 calendar days of the review sought
C) Within 7 calendar days of the review sought
D) Within 30 calendar days of the review sought
E) Within 10 calendar days of the review sought

3. If the conciliation process fails and the **Market Participant** decides to pursue online arbitration, what specific financial requirement must they satisfy prior to the initiation of the online arbitration?

A) They must deposit 100% of the admissible claim value with the relevant Market Infrastructure Institution (MII).
B) They must pay a non-refundable arbitration fee of Rs. 25,000.
C) They must obtain an indemnity bond from the investor for the full claim amount.
D) They must deposit 75% of the claim value with the Investor Protection Fund (IPF).
E) They must provide a Bank Guarantee equivalent to 50% of the claim value.

4. 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 can be moved to the broker's proprietary account temporarily to facilitate faster settlement payouts.
C) Funds in the USCNBA can be used for inter-client adjustments if the clients have provided specific consent in the KYC form.
D) 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.
E) The USCNBA is used only for receiving funds from the Exchange, while client receipts are deposited in the Settlement Account.

5. To bring transparency to the Investor Grievance Redressal Mechanism, stock brokers are mandated to disclose data on complaints received and redressed on their respective websites. What is the specific deadline for this disclosure?

A) Within 21 days of the end of the quarter
B) By the last day of the succeeding month
C) By the 7th of the succeeding month
D) By the 15th of the succeeding month
E) By the 10th of the succeeding month

Solutions: