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

1. For Securities Trading using Wireless Technology (STWT), specific operational and security controls are mandated to prevent misuse and ensure compliance. Which of the following statements regarding 'Session Login Details' and 'Server Location' is CORRECT?

A) Session login details can be stored if biometric auth is enabled; The server must be located in a Tier-1 city.
B) Session login details should not be stored on the devices; The broker's server routing orders to the exchange trading system shall be located in India.
C) Session login details should not be stored; The server location is at the discretion of the service provider.
D) Session login details can be stored on the device for ease of access; The server can be located anywhere globally.
E) Session login details must be encrypted and stored on the device; The server must be located within the Exchange premises.

2. Economic efficiency in the securities market is often described by the 'decoupling' of activities. Which of the following best explains the economic impact of this decoupling as defined in the source?

A) It eliminates the need for financial intermediaries in the transfer of resources.
B) It restricts the allocation of savings to government-backed securities only.
C) It ensures that savers and investors are constrained by the economy's abilities rather than their individual abilities.
D) It allows savers to directly manage the administrative operations of the issuer.
E) It mandates that investors must possess surplus funds equal to the issuer's total capital.

3. If a client submits a transfer instruction where the quantity is *less* than the net delivery obligation provided by the Clearing Corporation, what is the outcome of the validation process by the Depositories?

A) The instruction is held in abeyance until a supplementary instruction for the balance quantity is received.
B) The instruction is processed, but a penalty is automatically levied on the client for short delivery.
C) The instruction is rejected because it does not fully meet the obligation.
D) The instruction is routed to the Clearing Member for manual approval before processing.
E) The instruction is carried out by the depositories.

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

5. The relationship between a Depository Participant (DP) and a Depository is governed by an agreement. According to the regulatory norms, where is the form of this agreement specified?

A) In the SEBI (Stock Brokers) Regulations, 1992
B) In the Articles of Association of the Depository Participant
C) In the Securities Contracts (Regulation) Rules, 1957
D) In the bye-laws of the Depository
E) In the Master Circular for Depositories issued by RBI

Solutions: