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

1. Under the SEBI (Foreign Portfolio Investors) Regulations, 2019, which of the following entities are classified as Category I Foreign Portfolio Investors? (Select all that apply)

A) Unregulated funds in the form of limited partnerships
B) Appropriately regulated entities such as insurance entities from FATF member countries
C) Government and Government related investors such as central banks and sovereign wealth funds
D) Pension funds and university funds
E) Corporate bodies and Family offices

2. Select the correct statements regarding the online risk management system capabilities that a broker must possess for Middle Office Operations. (Select all that apply)

A) The system should strictly allow order modification only after trade execution is confirmed by the back office.
B) The system must have on-line real-time risk management for all orders placed on the exchange trading system.
C) The system must maintain separate ledgers for proprietary and client trades but need not monitor them in real-time.
D) Only orders within parameters like Order Quantity, Value Limits, and Price Limits should be pushed to the exchange.
E) The system should have the capability to generate reports relating to margin requirements and delivery obligations.

3. Regarding the maintenance and preservation of books of account and other records by stock brokers, which of the following statements accurately reflects the regulatory requirements under the Securities Contracts (Regulation) Rules, 1957 (SCRR) and SEBI Regulations?

A) Books must be preserved for 5 years; if originals are seized by an enforcement agency, they must be preserved (originals or copies) until the trial is completed.
B) Books must be preserved for 3 years; seized originals need not be tracked once handed over to agencies.
C) Books must be maintained in physical form only for a minimum of 5 years; electronic records are optional.
D) Books must be preserved for 10 years if the broker is involved in algorithmic trading.
E) Books must be preserved for 8 years in alignment with the Companies Act, regardless of SEBI regulations.

4. SEBI has formalized a Risk Based Supervision (RBS) model for market intermediaries. Which of the following sequences correctly identifies the four distinct steps of this supervision model?

A) Internal Audit External Audit -> Risk Classification -> Penalty Determination
B) Risk Identification -> Risk Analysis -> Risk Mitigation -> Risk Reporting
C) Data Collection -> Compliance Check -> Risk Scoring -> Inspection
D) Client Profiling -> Transaction Monitoring Risk Rating -> Surveillance Action
E) Risk Assessment -> Assigning Risk & Impact Rating -> Determining Supervisory Risk Rating Score -> Supervisory Approach

5. For the purpose of identifying an 'extra-ordinary' dividend (which triggers adjustment in Equity F&O), the declared dividend must be at and above 2% of the market value of the underlying stock. How is this 'market price' specifically defined for the calculation?

A) The closing price of the scrip on the day previous to the date on which the announcement of the dividend is made by the Company after the Board meeting.
B) The volume-weighted average price (VWAP) of the scrip on the cum-dividend date.
C) The closing price of the scrip on the date of the Annual General Meeting (AGM) where the dividend is approved.
D) The average closing price of the scrip for the last 5 trading days prior to the record date.
E) The closing price of the scrip on the record date fixed for the purpose of dividend payment.

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