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

1. Regarding the 'Default Waterfall' in the context of the Net Settlement mechanism for Cash and F&O segments, which of the following statements is correct?

A) The Core Settlement Guarantee Fund (SGF) of the F&O segment is utilized first for any default arising from the net settlement obligation.
B) The default waterfall is triggered only after liquidating the defaulting member's proprietary assets across all exchanges.
C) Default losses are covered solely by the Investor Protection Fund (IPF) in the case of net settlement defaults.
D) Clearing Corporations continue to maintain segment-wise default waterfalls, and losses are computed on the basis of segment-wise obligations on a pro-rata basis.
E) Clearing Corporations create a unified single default waterfall covering both segments to match the merged settlement.

2. Based on the concept of Multilateral Netting, calculate the Net Quantity obligation for Broker 'Z' given the following trades in Security ABC:
1. Broker Y buys 50 shares from Broker Z @ Rs. 10.50
2. Broker X buys 100 shares from Broker Z @ Rs. 10.50

A) Deliver 150 shares
B) Receive 100 shares
C) Receive 150 shares
D) Deliver 100 shares
E) Deliver 50 shares

3. In certain market segments or scenarios, the Clearing Corporation bypasses the auction mechanism and directly initiates a 'Close Out' for delivery shortages. Which of the following is a specific case where this direct close-out procedure is mandated?

A) Shortages arising from institutional trades not confirmed by the Custodian.
B) Internal shortages within a broker's firm that could not be resolved via self-auction.
C) Shortages in liquid securities (Group l) where the impact cost is less than 1%.
D) Trades executed in the Block Deal window.
E) Shortages where the value is less than Rs. 1 Lakh.

4. A clearing member fails to discharge their funds obligations at the notified time. According to the NISM workbook, this failure renders the member liable for specific consequences regarding their operations. Which of the following is explicitly mentioned as a potential liability/action?

A) Withdrawal of trading facility.
B) Automatic cancellation of the certificate of registration by SEBI.
C) Suspension of the clearing bank's license.
D) Immediate transfer of the clearing member's proprietary trades to the Investor Protection Fund.
E) Mandatory liquidation of all client assets held in the pool account.

5. Under the regulatory framework defined in Section 24 of the Companies Act, 2013, the administration of specific provisions for listed companies (or those proposed to be listed) is delegated to the Securities and Exchange Board of India (SEBI). Which of the following matters is EXCLUSIVELY administered by SEBI under this delegation, while remaining otherwise under the Central Government's administration?

A) Appointment of key managerial personnel
B) Registration of the company's memorandum of association
C) Incorporation of the company
D) Conduct of Annual General Meetings
E) Non-payment of dividend

Solutions: