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

2. In the context of the SEBI Complaints Redress System (SCORES), certain types of complaints are explicitly excluded from its purview Which of the following scenarios represents a complaint that is NOT dealt with through SCORES?

A) Complaint against a company where a moratorium order is passed in insolvency proceedings
B) Complaint regarding discrepancy in the demat account holding statement
C) Complaint regarding non-receipt of dividend from a listed company
D) Complaint regarding non-receipt of refund in an Initial Public Offer (IPO)
E) Complaint regarding unauthorized trading by a registered stock broker

3. Regarding the facility provided by Clearing Corporations to Clearing Members for the pay-in of securities through NSDL/CDSL, which automated mechanism is available to streamline the process?

A) Auto-pledge of client securities directly to the Clearing Corporation without broker intervention.
B) Auto-borrowing of securities from the Securities Lending and Borrowing (SLB) platform to meet shortfalls.
C) Automatic debit of the client's bank account for the value of securities short delivered.
D) Delivery-out instructions generated automatically by the Clearing Corporation based on the net delivery obligations of its Clearing Members.
E) Automatic conversion of physical shares to demat shares on the pay-in date.

4. To facilitate members in meeting their pay-in obligations for a subsequent settlement on a day with multiple settlements due to holidays, what specific requirement is imposed on Depositories regarding inter-depository transfers?

A) Depositories must suspend inter-depository transfers until all settlements for the day are concluded.
B) Depositories are required to waive the transaction charges for inter-depository transfers executed on such days.
C) Depositories shall facilitate inter-depository transfers within one hour and before pay-in for the subsequent settlement begins.
D) Depositories must process transfers instantly using the API-based immediate transfer mechanism.
E) Depositories must allow transfers only after the pay-out of the subsequent settlement is complete.

5. SEBI has mandated the Direct Pay-out of securities to client demat accounts. What is the specific operational consequence of this mandate regarding the revision of the securities pay-out timing in the T+1 settlement cycle?

A) The pay-out timing is synchronized with the funds pay-out at 10:30 AM.
B) The pay-out timing is revised from 1:30 PM to 3:30 PM.
C) The pay-out timing is advanced from 1:30 PM to 11 AM.
D) The pay-out timing is deferred to T+2 day at 9:00 AM.
E) The pay-out timing remains unchanged at 1 :30 PM.

Solutions: