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

1. According to the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, from whom must an issuer obtain 'in-principle approval' for listing securities before issuing further shares, specifically in the case where the company is not listed on any exchange having nationwide trading terminals?

A) From any one recognized stock exchange having nationwide trading terminals
B) From the stock exchange with the highest trading volume in the previous financial year
C) Only from the Securities and Exchange Board of India (SEBI)
D) From the Registrar of Companies (ROC) where the company is registered
E) From all the stock exchange(s) in which the securities of the issuer are proposed to be listed

2. A trader has bought 1000 shares of XYZ Ltd. at Rs. 500 and wants to limit the potential loss to roughly Rs. 20 per share using a Sell Stop Loss order. Which of the following combinations of 'Trigger Price' and 'Limit Price' represents a valid and logical Stop Loss Limit order configuration for this purpose?

A) Trigger Price: Rs. 20; Limit Price: Rs. 0
B) Trigger Price: Rs. 480; Limit Price: Rs. 478
C) Trigger Price: Rs. 520; Limit Price: Rs. 525
D) Trigger Price: Rs. 480; Limit Price: Rs. 485
E) Trigger Price: Rs. 500; Limit Price: Rs. 480

3. SEBI designates certain stock brokers as 'Qualified Stock Brokers' (QSBs) based on specific parameters to ensure appropriate governance and risk management. Which of the following parameters are explicitly considered for designating a stock broker as a QSB?
(Select all that apply)

A) The available total assets of clients with the stock broker.
B) The number of sub-broker offices managed by the stock broker.
C) The total number of active clients of the stock broker.
D) The proprietary trading volumes of the stock broker.
E) The net worth of the stock broker's promoter group.

4. In the context of handling settlements during holidays, specific provisions are made regarding the utilization of assets received from a prior settlement. How is the pay-out from the first settlement treated in relation to subsequent obligations?

A) It is locked in the member's pool account for 24 hours to prevent misuse.
B) The cash or securities pay out from the first settlement shall be made available to the member for meeting his pay-in obligations for the subsequent settlement(s).
C) It is automatically converted into liquid assets and pledged to the Core Settlement Guarantee Fund.
D) It must be transferred to the client's beneficiary account immediately and cannot be used for subsequent proprietary obligations.
E) It is returned to the Clearing Corporation to cover potential shortfalls in the subsequent settlement's auction.

5. In the context of the securities market structure, identifying the correct classification of an issue is critical for regulatory compliance. If an issuer raises resources by issuing shares to a select group of persons rather than the general public, how is this issuance technically classified?

A) Bonus Issue
B) Private Placement
C) Follow on Public Offer (FPO)
D) Rights Issue
E) Initial Public Offer (IPO)

Solutions: