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

1. If a selling broker fails to deliver securities, the Clearing Corporation conducts an auction. If this auction remains unresolved because there are no sellers (Auction Fail), the transaction is subject to a 'Close out'. How is the close-out price calculated to compensate the buyer in such a scenario?

A) At the highest price prevailing across the exchange from the day of trading up to the auction day OR 20% above the official closing price on the auction day, whichever is higher.
B) At the closing price of the securities on the auction day plus a fixed penalty of 5%.
C) At the average weighted trade price of the security during the last 5 trading sessions plus brokerage and statutory levies.
D) At the standard valuation price determined by the Clearing Corporation on the T+1 pay-in day.
E) At the highest price recorded on the exchange on the trade day only, irrespective of subsequent price movements.

2. In certain market segments or scenarios, the Clearing Corporation bypasses the auction mechanism and directly initiates a 'Close Out' for delivery shortages. Which of the following is a specific case where this direct close-out procedure is mandated?

A) Internal shortages within a broker's firm that could not be resolved via self-auction.
B) Shortages arising from institutional trades not confirmed by the Custodian.
C) Shortages where the value is less than Rs. 1 Lakh.
D) Shortages in liquid securities (Group l) where the impact cost is less than 1%.
E) Trades executed in the Block Deal window.

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

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

5. Who is the 'Relevant Authority' empowered to decide on actions such as disciplinary actions or withdrawal of trading facility when a clearing member fails to discharge settlement dues?

A) The Reserve Bank of India (RBI)
B) The Securities Appellate Tribunal (SAT)
C) The Relevant Authority (of the Exchange/Clearing Agency)
D) The Association of Mutual Funds in India (AMFI)
E) The Depository Participant (DP)

Solutions: