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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. For the purpose of corporate action adjustments in the Equity F&O segment, under what specific condition is a dividend deemed to be 'extra-ordinary', thereby necessitating an adjustment to the futures and options contracts?

A) If the dividend amount exceeds 10% of the closing price of the scrip on the record date.
B) If the dividend declared is more than 5% of the paid-up capital of the company.
C) If the dividend yield exceeds the risk-free interest rate (MIBOR) prevailing on the declaration date.
D) If the dividend is declared as an 'interim' dividend rather than a 'final' dividend.
E) If the dividend amount is at and above 2% of the market value of the underlying security.

2. Which type of risk, identified in the risk management framework for stock brokers, encompasses the scenario where a disruption at a firm or settlement system causes a 'domino effect' throughout financial markets?

A) Operational Risk
B) Legal Risk
C) Credit Risk
D) Systemic Risk
E) Market Risk

3. Under the 'Segregation and Monitoring of Collateral at Client Level' norms, how is the collateral allocated to a client utilized by the Clearing Corporation?

A) It is used to provide exposure limits to the Clearing Member's other Trading Members.
B) It is pooled with other clients' collateral to cover the aggregate margin requirement of the Trading Member.
C) It is transferred to the Core Settlement Guarantee Fund immediately upon receipt.
D) It is primarily used for the client but can be used for the TM's proprietary obligations in case of a shortfall.
E) It is used to cover the margin obligation of that specific client only.

4. According to the risk management framework regarding * *Liquid Assets** deposited by clearing members, which of the following statements correctly defines the limits and haircuts applicable to * *Corporate Bonds** accepted as collateral?

A) Treated as Cash Equivalent with 0% haircut if rated AAA.
B) Fixed percentage haircut of 50%; Limit not to exceed 25% of total liquid assets.
C) Minimum haircut of 10% (Fixed percentage or VaR based); Limit not to exceed 10% of the total liquid assets of the clearing member.
D) VaR based haircut; Limit not to exceed 50% of the cash component of liquid assets.
E) No limit on quantity; Haircut based strictly on credit rating (AAA: 10%, AA: 15%).

5. The secondary market operates through different mediums with distinct settlement mechanisms. Which of the following statements accurately differentiates the Over-The-Counter (OTC) market from the Exchange Traded Market?

A) OTC markets consist of standardized contracts traded on a screen-based system.
B) OTC markets use a centralized Clearing Corporation to guarantee all trades.
C) Exchange Traded Markets allow buyers and sellers to know each other's identity directly.
D) Exchange Traded Markets do not adhere to a fixed time schedule for settlement.
E) OTC markets are informal markets where trades are negotiated and settled bilaterally.

Solutions: