NISM NISM-Series-VII real exam prep : NISM Series VII - Securities Operations and Risk Management Certification

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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Which of the following statements are CORRECT regarding the Settlement of Securities in the Indian Cash Market? (Select all that apply)

A) The securities direct pay-out mandated by SEBI is applicable to all clients, including those having arrangements with registered custodians.
B) As a consequence of Direct Payout, the timing of the securities payout has been revised to 3:30 PM.
C) Purchasers of securities are required to issue a fresh receipt instruction to their DP for every transaction, as standing instructions are prohibited.
D) In case of holidays, the CCs settle trades on a sequential basis, ensuring the pay-out of the first settlement is completed before the pay-in of the subsequent settlement.
E) Clients can authorize the broker via DDPI to access their BO account for the limited purpose of meeting pay-in obligations.

2. Identify the financial instrument described by the following features: It is a rupee-denominated bond issued outside India by Indian entities to raise money in local currency from foreign investors.

A) Masala Bond
B) American Depository Receipt (ADR)
C) Foreign Currency Convertible Bond (FCCB)
D) External Commercial Borrowing (ECB)
E) Global Depository Receipt (GDR)

3. In the context of corporate actions adjustment for * *Bonus, Stock Splits, and Consolidations** in the Equity F&O segment, how are the New Strike Price and New Market Lot determined relative to the Adjustment Factor?

A) New Strike Price = Old Strike Price / Adjustment Factor; New Market Lot = Old Market Lot / Adjustment Factor
B) New Strike Price =Old Strike Price Adjustment Factor; New Market Lot = Old Market Lot / Adjustment Factor
C) New Strike Price = Old Strike Price / Adjustment Factor; New Market Lot = Old Market Lot Adjustment Factor
D) New Strike Price = Old Strike Price + Adjustment Factor; New Market Lot = Old Market Lot - Adjustment Factor
E) New Strike Price = Old Strike Price Adjustment Factor; New Market Lot = Old Market Lot Adjustment Factor

4. Indian Depository Receipts (IDRs) allow foreign companies to raise funds from the Indian securities markets. Which of the following statements accurately reflects the rules regarding the redemption or conversion of IDRs into underlying equity shares?

A) IDRs can only be converted into underlying shares if the issuer is a US-based company.
B) Redemption is permitted only after 3 years from the date of listing.
C) Redemption/Conversion is permitted after 1 year from the date of listing of the IDRs.
D) Two-way fungibility is strictly prohibited for IDRs.
E) Redemption is permitted immediately upon listing of the IDRs.

5. Which of the following instruments is specifically defined as a rupee-denominated bond issued outside India by Indian entities to raise money in local currency from foreign investors?

A) Masala Bonds
B) American Depository Receipts (ADRs)
C) Foreign Currency Convertible Bonds (FCCBs)
D) Global Depository Receipts (GDRs)
E) Indian Depository Receipts (IDRs)

Solutions: