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

1. Regarding the limitation period for filing complaints, what is the maximum time period from the 'date of cause of action' within which an investor must lodge a complaint on SCORES, provided they have first approached the concerned entity and are unsatisfied with the response?

A) Three years
B) Five years
C) One year
D) Two years
E) Six months

2. Regarding the utilization of interest or income received out of investments made from the Investor Protection Fund (IPF), which of the following statements accurately reflects the regulatory mandate for ploughing back funds into the corpus?

A) At least 50% of the interest or income must be ploughed back, while the remaining 50% can be used for administrative expenses.
B) At least 70% of interest or income from IPF received every year shall be ploughed back to IPF.
C) 100% of the interest or income received every year must be strictly used for settling claims and cannot be reinvested.
D) Only the interest earned on the security deposit of the issuer companies is ploughed back; other income is free for use.
E) The entire interest income must be transferred to the Investor Services Fund (ISF) annually.

3. Regarding the netting of settlement obligations for a member trading in both T+1 and T+0 cycles, which of the following statements is operationally correct?

A) Netting is allowed only if the member opts for the 'Unified Settlement' facility provided by the Clearing Corporation.
B) Netting is permitted only for funds, while securities obligations are kept separate.
C) Obligations are netted across both cycles to reduce liquidity stress.
D) Securities delivered in T+0 pay-out can be immediately netted against T+1 pay-in obligations for the same day.
E) There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycles.

4. For which specific category of clients is the 'Block Mechanism' in the demat account for sale transactions explicitly applicable?

A) High Net Worth Individuals (HNIs) trading in the F&O segment.
B) Corporate clients trading through a proprietary account of the Trading Member.
C) Retail investors using the Application Supported by Blocked Amount (ASBA) facility.
D) Clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.
E) Non-Resident Indians (NRIs) dealing through a Portfolio Investment Scheme (PIS).

5. To bring transparency to the Investor Grievance Redressal Mechanism, stock brokers are mandated to disclose data on complaints received and redressed on their respective websites. What is the specific deadline for this disclosure?

A) By the 10th of the succeeding month
B) By the last day of the succeeding month
C) Within 21 days of the end of the quarter
D) By the 15th of the succeeding month
E) By the 7th of the succeeding month

Solutions: