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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q21-Q26):

NEW QUESTION # 21
According to the Securities Contract (Regulation) Rules, 1957, and Exchange norms, which of the following conditions render an entity or person ineligible to be admitted as a member of a Stock Exchange? (Select all that apply)

Answer: B,C,D,E

Explanation:
Options A, B, C, and D are explicit disqualifications for membership under the regulations. An entity is ineligible if adjudged bankrupt, compounded with creditors for less than full discharge, convicted of fraud/dishonesty, or engaged in other business involving personal financial liability (unless they undertake to sever connections). Option E is incorrect as an LLP is eligible to be admitted as a member provided it meets the financial requirements and norms specified by SEBI.


NEW QUESTION # 22
A Trading Member executes the following trades in a specific scrip on a given day:
* Buy 500 shares @ Rs. 100
* Sell 300 shares @ Rs. 105
* Buy 200 shares @ Rs. 95
What are the final Net Quantity and Net Fund obligations for the member to be settled with the Clearing Corporation?

Answer: D

Explanation:
Net Quantity:
Total Buy = 500 + 200 = 700.
Total Sell = 300.
Net Qty = 700 - 300 = 400 (Buy/Receive).
Net Funds:
Outflow (Buy) = + (200*95) = 50,000 + 19,000 = Rs. 69,000.
Inflow (Sell) = 300*105 = Rs. 31 ,500.
Net Funds = Inflow - Outflow = 31 ,500 - 69,000 = -37,500.
Negative implies Pay Rs. 37,500.


NEW QUESTION # 23
Under the 'Management or administration of clients portfolio' regulations, what is the specific investment limit for a portfolio manager offering **non-discretionary or advisory services** regarding **unlisted securities**?

Answer: C

Explanation:
The regulations state: 'The portfolio manager offering non-discretionary or advisory services to clients may invest or provide advice for investment up to 25% of the assets under management of such clients in unlisted securities, in addition to the securities permitted for discretionary portfolio management.'


NEW QUESTION # 24
In the Clearing Process for Derivatives, how is a Trading Member's (TM) open position calculated for the purpose of exposure and daily margin?

Answer: D

Explanation:
A TM's open position is the sum of proprietary open position, client open long position and client open short position. Clients' positions are arrived at by summing together net positions of each individual client, but positions are not netted across clients.


NEW QUESTION # 25
Which of the following statements accurately reflect the 'Additional Requirements' and operational controls mandated for Internet Based Trading (IBT) and Securities Trading Using Wireless Technology (STWT)? (Select all that apply)

Answer: A,B,D

Explanation:
Option A is incorrect: 'Brokers using Internet based systems for routing client orders will not be allowed to cross trades of their clients with each other. All orders must be offered to the market for matching.' Option E is incorrect: 'DOT policy and regulation shall govern the level of encryption.' Options B, C, and D are correct based on the 'Additional Requirements' section: Capture IP address, Automatic trading session logout, and On-site as well as remote site back-up capabilities.


NEW QUESTION # 26
......

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