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

1. Regarding Indian Depository Receipts (IDRs) and the regulatory framework for their conversion or redemption into underlying equity shares, which of the following statements accurately reflects the permissible conditions?

A) Two-way fungibility is strictly prohibited; investors can only convert underlying shares into IDRs but cannot redeem IDRs into shares.
B) The headroom for conversion is calculated based on the total paid-up capital of the issuing company rather than the specific number of IDRs issued.
C) Redemption is permitted immediately upon listing, provided the fungibility is restricted to one-way conversion from IDRs to shares only.
D) Redemption is permitted after 1 year from the date of listing, subject to available headroom calculated as originally issued IDRs minus outstanding IDRs adjusted for redemptions.
E) Investors can request redemption into underlying shares at any time, but the underlying shares must be held by a domestic custodian registered with SEBI.

2. A stock broker intends to expand their business scope by offering Portfolio Management Services (PMS) and functioning as a Depository Participant. According to the regulatory framework for 'Other Services Provided by Brokers', which of the following statements accurately reflects the registration requirement for these additional services?

A) Registration is only required with the Stock Exchange for PMS, while Depository services require SEBI registration.
B) The existing stock broker registration with SEBI is comprehensive and covers all financial services including PMS and Depository services.
C) These services can be offered under a general 'Investment Advisory' license without specific product registration.
D) The broker needs to convert into a Non-Banking Financial Company (NBFC) to offer these services, but no separate SEBI registration is needed.
E) The broker must obtain separate registration/licenses from SEBI for each of the specific services like PMS and Depository services.

3. Under the 'Block Mechanism' in demat accounts for sale transactions, what is the specific operational protocol regarding the movement and unblocking of shares if the sale transaction is **not** executed on the trade day (T day)?

A) Shares remain blocked until the client explicitly submits a cancellation instruction via the depository participant.
B) Shares are debited from the client's account and held in a suspense account by the Depository until the next trading session.
C) Shares are transferred to the Clearing Corporation's settlement pool and returned only after the auction session on T+1 .
D) Shares continue to remain in the client's demat account and will be unblocked at the end of the T day.
E) Shares are automatically transferred to the Trading Member's pool account and returned to the client on T+1 day.

4. Which of the following statements accurately describe the application of the 'Close Out' procedure by the Clearing Corporation? (Select all that apply)

A) Securities under 'Trade for Trade' category are subject to direct close out without an auction.
B) The close out price is strictly fixed at the closing price of the trade day for all scenarios.
C) Delivery shortages in securities undergoing corporate action are directly closed out.
D) Any surplus proceeds from a close out are credited to the defaulting party's settlement account.
E) Close out is conducted if an auction for short delivery finds no sellers.

5. In the context of stock brokers providing mutual fund services, what specific compliance obligation is imposed by Regulation 4(g) of the SEBI (Investment Advisers) Regulations, 2013?

A) Stock brokers must ensure client level segregation of advisory and distribution activities at the entity and group level.
B) Stock brokers must route all mutual fund advisory transactions through a separate subsidiary company.
C) Stock brokers are prohibited from charging any commission on mutual fund distribution if they are registered as InvestmentAdvisers.
D) Stock brokers must obtain a separate license from AMFI for providing advisory services.
E) Stock brokers must maintain a minimum net worth of Rs. 1 Crore to offer investment advice.

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