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

1. According to the SEBI (Portfolio Managers) Regulations, 2020, which of the following entities is defined as a 'Co-investment Portfolio Manager' and what is the specific restriction on their investment activities?

A) A non-discretionary portfolio manager who invests only in government securities and money market instruments.
B) A discretionary portfolio manager who leverages client funds for derivative trading up to 50% of the portfolio value.
C) A Portfolio Manager providing services to accredited investors only and investing up to 100% in unlisted securities.
D) A Manager of a Category I or II AIF who provides services only to investors of such AIFs and makes investments only in unlisted securities of investee companies where such AIFs make investments.
E) A Manager of a Mutual Fund who invests only in listed securities of investee companies where the Mutual Fund makes investments.

2. Under the SCORES 2.0 framework, if a complainant is dissatisfied with the resolution provided by the entity and requests a first review, the Designated Body (DB) may seek clarification from the entity. What is the specific timeline mandated for the Designated Body to submit the revised Action Taken Report (ATR) to the complainant after seeking such clarification?

A) Within 15 calendar days of the review sought
B) Within 7 calendar days of the review sought
C) Within 30 calendar days of the review sought
D) Within 10 calendar days of the review sought
E) Within 21 calendar days of the review sought

3. A Clearing Member (CM) maintains a designated clearing account with a Clearing Bank. While the CM is permitted to deposit funds into this account in any form, which of the following specific restrictions is imposed on the withdrawal of funds from this account to ensure regulatory compliance?

A) Funds can be withdrawn only after obtaining a 'No Objection Certificate' from the Stock Exchange.
B) Funds can be withdrawn directly to the client's beneficiary bank account to facilitate faster payout.
C) Withdrawals are restricted to 50% of the account balance on any given trading day.
D) Funds can be withdrawn only via physical Demand Drafts and not through electronic transfer.
E) Funds can be withdrawn only in 'self-name' of the Clearing Member.

4. Stock brokers bring out regular research reports for their clients. Which of the following is NOT explicitly listed in the NISM workbook as a type of research report typically provided by brokers?

A) Stock Research
B) Special Reports to cater to needs of some investors
C) Daily/weekly/fortnightly/monthly newsletters
D) High-Frequency Arbitrage Reports
E) Fundamental Research

5. Which of the following is typically listed as a distinct facility offered by a stock broker's outlet to facilitate advanced trading strategies and execution for clients?

A) Formulation of Monetary Policy
B) Adjudication of securities disputes as a Court
C) Algorithmic trading
D) Issuance of Sovereign Gold Bonds as an Issuer
E) Currency printing and minting

Solutions: