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

1. Which of the following statements accurately describe the rules and procedures for **Dividend Adjustment** in the Equity F&O segment?
(Select all that apply)

A) Adjustment for extra-ordinary dividend is carried out only on futures contracts, not options.
B) In case of extra-ordinary dividend, the total dividend amount is reduced from all strike prices of option contracts.
C) If shareholders in the AGM change the rate declared by the Board, the market price reference changes to the closing price on the day previous to the AGM.
D) Dividends below 2% of the market value of the underlying stock are deemed ordinary dividends and no adjustment is made.
E) The revised strike prices due to extra-ordinary dividend are applicable from the record date.

2. Based on the Securities Contract Regulation Act (SCRA), 1956, select all the instruments that are explicitly included in the definition of 'Securities' from the list below.

A) Derivatives
B) Private Promissory Notes between individuals
C) Zero Coupon Zero Principal Instruments
D) Electronic Gold Receipts
E) Government Securities

3. When a stock broker places an order for an additional subscription of mutual fund units in physical mode through the Exchange system, which of the following data fields is mandatory to ensure the transaction is processed correctly?

A) Client Beneficiary ID
B) ISIN of the Demat Account
C) Depository Participant ID
D) UCC Mapping Code
E) Folio Number

4. In the context of the clearing and settlement ecosystem, the Clearing Corporation assumes the role of a legal counterparty to all trades executed on the Stock Exchange. What is the specific legal term for this process where the original contract between the buyer and seller is replaced by two new contracts with the Clearing Corporation?

A) Subrogation
B) Indemnification
C) Arbitration
D) Adjudication
E) Novation

5. Straight Through Processing (STP) is mandated for institutional trades. Which of the following best describes the operational benefit and definition of STP in the securities trade life cycle?

A) It involves electronically capturing and processing transactions in one pass, from the point of first 'deal' to final settlement, avoiding manual re-entry.
B) It is a risk management tool used exclusively by the Front Office to block erroneous orders before they reach the exchange.
C) It refers to the process of auctioning securities in case of delivery shortages.
D) It is a mechanism for retail clients to directly settle trades with the Clearing Corporation.
E) It is a manual process of verifying contract notes against trade logs to ensure accuracy.

Solutions: