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

1. Which regulatory framework governs the operationalization of the Bullion Exchange, Bullion Clearing Corporation, Bullion Depository, and Vault Manager within the IFSC?

A) FEMA (Export of Goods and Services) Regulations, 2015
B) RBI (Gold Monetization Scheme) Directions, 2015
C) SEBI (Custodian of Securities) Regulations, 1996
D) IFSCA (Bullion Exchange) Regulations, 2020
E) SEBI (Vault Managers) Regulations, 2021

2. For Securities Trading using Wireless Technology (STWT), specific operational and security controls are mandated to prevent misuse and ensure compliance. Which of the following statements regarding 'Session Login Details' and 'Server Location' is CORRECT?

A) Session login details should not be stored on the devices; The broker's server routing orders to the exchange trading system shall be located in India.
B) Session login details can be stored if biometric auth is enabled; The server must be located in a Tier-1 city.
C) Session login details must be encrypted and stored on the device; The server must be located within the Exchange premises.
D) Session login details can be stored on the device for ease of access; The server can be located anywhere globally.
E) Session login details should not be stored; The server location is at the discretion of the service provider.

3. Regarding the modernization of broker services, what specific technological facility allows brokers to offer clients direct control over orders, faster execution, and reduced risk of manual errors?

A) Direct Market Access (DMA)
B) Physical Delivery Instruction Slip (PDIS)
C) Manual Order Routing (MOR)
D) Contract Note Digitization (CND)
E) Offline Trading System (OTS)

4. Which of the following statements accurately describes the currency and jurisdictional nature of an International Financial Services Centre (IFSC) in India?

A) It is a jurisdiction providing financial services to non-residents and residents (to the extent permissible) in a currency other than the domestic currency (Indian Rupee).
B) It operates under the jurisdiction of the state government where it is located, dealing in dual currencies.
C) It is a deemed domestic territory for FEMA purposes but deals in foreign currency.
D) It caters to domestic customers only, offering products in foreign currency.
E) It operates in Indian Rupee (INR) but is exempt from RBI regulations.

5. A claim against a defaulter trading member is received by the Stock Exchange after three years from the date of expiry of the specified period for lodging claims. How is such a claim categorized under the IPF guidelines?

A) It is automatically rejected and cannot be pursued in any forum.
B) It may be dealt with as a civil dispute.
C) It is referred to the SEBI Complaints Redressal System (SCORES) for arbitration.
D) It is treated as a priority claim but paid only after all timely claims are settled.
E) It is eligible for 50% of the compensation limit applicable to timely claims.

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