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

1. According to the 'Default Waterfall' mechanism for the Core Settlement Guarantee Fund (Core SGF), if a member defaults, which resource is utilized immediately **after** the defaulting member's monies (and insurance) are exhausted, but **before** the Core SGF corpus is accessed?

A) Clearing Member Primary Contribution.
B) Stock Exchange contribution to Core SGF.
C) Penalties credited to Core SGF.
D) Clearing Corporation resources equal to 5% of the segment MRC.
E) Capped additional contribution by non-defaulting members.

2. Regarding the execution of a 'Delivery Instruction Slip' (DIS) for debiting a beneficiary account in a depository, which of the following conditions is **MANDATORY** for the instruction to be processed?

A) The DIS must clearly indicate whether the trade is an 'off-market' trade or a 'market' trade.
B) The execution date on the DIS cannot be a future date; it must be the same as the submission date.
C) The DIS must be signed only by the primary holder in case of joint accounts.
D) The DIS must be physically submitted even if the client has enabled electronic DIS facilities.
E) The DIS must be counter-signed by a SEBI registered official.

3. Direct Market Access (DMA) allows specific clients to access the exchange trading system through the broker's infrastructure. Which of the following is a specific characteristic or requirement of the DMA facility as per SEBI guidelines?

A) It allows execution of client orders without manual intervention by the broker, offering advantages like faster execution and reduced risk of errors.
B) Brokers provide DMA to clients using the broker's proprietary trading codes instead of client codes.
C) It is available to all retail investors without specific authorization.
D) Investment managers acting on behalf of institutional clients are prohibited from using DMA.
E) It requires manual intervention by the broker for every order to ensure risk compliance.

4. Which type of risk, identified in the risk management framework for stock brokers, encompasses the scenario where a disruption at a firm or settlement system causes a 'domino effect' throughout financial markets?

A) Credit Risk
B) Market Risk
C) Operational Risk
D) Systemic Risk
E) Legal Risk

5. Which of the following statements accurately describe the operational procedures and timelines within the Clearing Process of the Indian securities market (Cash Segment)? (Select all that apply)

A) Institutional trades are subject to upfront margin collection similar to retail client trades.
B) The Clearing Corporation performs multilateral netting to determine the net settlement obligations of clearing members.
C) Clearing Members are required to maintain a single consolidated clearing account for all segments (Cash, Derivatives, Debt) to facilitate netting.
D) Modification of the Custodial Participant (CP) code is permitted on T day up to 4:15 pm.
E) Final obligations for funds and securities are downloaded to members by the Clearing Corporation on T+1 day by 9:00 am.

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