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

1. In the context of primary market issuance, which of the following correctly defines a 'Retail Individual Investor'?

A) Any non-institutional investor applying for securities up to ten lakhs rupees
B) An individual investor whose total annual income is less than two lakhs rupees
C) An investor who trades strictly in the cash segment with a turnover less than two lakhs rupees
D) An individual investor (Resident Indians, NRIs, HUF) who applies for specified securities for a value of not more than two lakhs rupees
E) Any investor who applies for specified securities for a value of not more than five lakhs rupees

2. Regarding the issuance of Contract Notes by stock brokers, which of the following statements are legally and operationally correct as per regulations? (Select all that apply)

A) If an ECN bounces, the broker is not required to take further action if the client has opted for electronic delivery.
B) Contract notes must be issued within 24 hours of the execution of the trade.
C) Contract notes should have a unique running serial number starting from the beginning of the financial year.
D) Electronic Contract Notes (ECNs) sent via email must be digitally signed, encrypted, and non-tamperable.
E) A contract note is valid even if it does not explicitly state the brokerage and statutory levies separately.

3. Stock brokers provide various types of research reports to assist investors. Specifically, what content is a 'Sector Research' report expected to cover to help investors in their decision-making process?

A) Mathematical models for algorithmic trading strategies.
B) A comprehensive list of all IPOs expected to hit the market in the next financial year.
C) Details on how an industry is faring and whether current policies favour the industry.
D) Detailed technical analysis of stock price movements and volume data for specific scrips.
E) Confidential insider information regarding upcoming mergers and acquisitions.

4. Consider the following 'Sell' order book for a security. A new Buy Limit Order for 500 shares at a price of Rs. 121.50 is entered into the system.

Based on the price-time priority mechanism, how will this buy order be executed?

A) 150 shares @ 121.20, 200 shares @ 121.40, and 150 shares @ 121.50
B) 500 shares @ Rs. 121.50
C) 50 shares @ 121.20, 100 shares @ 121.20, 200 shares @ 121.40, and 150 shares @ 121.50
D) The order will remain pending as the full quantity cannot be matched at a single price.
E) 200 shares @ 121.50, 200 shares @ 121.40, and 100 shares @ 121.20

5. Which of the following benefits is explicitly granted to 'Accredited Investors' under the 'regulation-light framework'?

A) Ability to participate in investment products with an investment amount lesser than the minimum amount mandated in respective regulations
B) Guaranteed allocation in Initial Public Offers (IPOs)
C) Exemption from the lock-in period requirements for pre-IPO holdings
D) Complete waiver of KYC documentation requirements
E) Exemption from payment of Securities Transaction Tax (STT)

Solutions: