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

1. When a stock broker undertakes 'Video In-Person Verification' (VIPV) for client on-boarding through a digital medium, which of the following operational conditions must be strictly ensured?

A) The VIPV recording is optional if the client provides a digitally signed self-declaration.
B) The VIPV must be conducted offline and the recording uploaded to the KRA system later.
C) The intermediary shall ensure that the photograph downloaded through the Aadhaar authentication process matches with the investor in the VIPV.
D) The VIPV process can be fully automated using Artificial Intelligence without the need for any authorized official's interaction.
E) The client is not required to display the officially valid document in the video if Aadhaar e-KYC is used.

2. In the context of the Indian Money Market, which of the following instruments represents an extension of the interbank call market for uncollateralized lending and borrowing of funds for a period specifically defined as between 15 days and 1 year?

A) Cash Management Bills
B) Term Money
C) Commercial Paper
D) Notice Money
E) Market Repo

3. Identify the category of Clearing Member that possesses both trading and clearing rights and is authorized to clear and settle trades for themselves, other trading members, and custodial participants.

A) Custodian
B) Trading Member-cum-Clearing Member (TCM)
C) Authorized Person
D) Professional Clearing Member (PCM)
E) Trading cum Self-Clearing Member (SCM)

4. A stock broker intends to provide an Internet Based Trading (IBT) facility to clients using their own infrastructure. According to the regulatory framework, what is the specific Net Worth requirement for the broker, and what is the timeline within which the Stock Exchange must communicate its decision on the application?

A) Minimum Net Worth: Rs. 50 Lakhs; Decision Timeline: 15 working days.
B) Minimum Net Worth: Rs. 1 Crore; Decision Timeline: 15 calendar days.
C) Minimum Net Worth: Rs. 10 Lakhs; Decision Timeline: 7 working days.
D) Minimum Net Worth: Rs. 25 Lakhs; Decision Timeline: 30 working days.
E) Minimum Net Worth: Rs. 50 Lakhs; Decision Timeline: 7 calendar days.

5. To ensure compliance with Margin Trading Facility (MTF) regulations, stock brokers are required to submit a certificate to the exchange.
What is the frequency and timeline for this submission?

A) Monthly; by the 7th of the succeeding month.
B) Annually; along with the Annual Returns by October 31st.
C) Quarterly; within 15 days from the end of the quarter.
D) Event-based; within 7 days of exceeding the exposure limits.
E) Half-yearly; within one month from the half-year ending 31st March and 30th September.

Solutions: