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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q103-Q108):

NEW QUESTION # 103
Regarding 'Internal Shortages' within a broker's firm (where a selling client fails to deliver, but the broker has no net obligation to the Clearing Corporation due to an offsetting buy by another client), what is the specific regulatory advice concerning the handling of charges under the 'Direct Pay-out' of securities framework?

A. The broker must buy the shares from the open market on T+2 and can pass on the purchase cost plus a standard brokerage fee to the defaulting client.
B. The broker must conduct a private auction among its own clients and can charge a facilitation fee not exceeding 1% of the trade value.
C. The broker should handle such shortages through the process of auction as specified by CCs and is advised not to levy any charges on the client over and above the charges levied by the CCs.
D. The broker is mandated to close out the internal shortage at the highest price of the settlement cycle plus a 5% penalty credited to the Investor Protection Fund.
E. Internal shortages must be reported to the Exchange, and the trade should be annulled with mutual consent of both clients.

Answer: C

Explanation:
To handle shortages arising due to inter se netting of positions between clients with introduction of Direct Pay-out of securities in client account, SEBI has advised TM/CM to handle such shortages through the process of auction as specified by CCs. Further, SEBI advised TMICM in such cases not to levy any charges on the client over and above the charges levied by the CCs.

NEW QUESTION # 104
Which of the following statements correctly reflect the regulatory framework and operational guidelines for the trading of Mutual Fund units on Stock Exchange Platforms? (Select all that apply)

A. For both demat and non-demat mode transactions, units shall be credited/debited directly to/from the investors' account without routing through the broker's pool account.
B. Only stock brokers can access the Exchange platform for Mutual Funds; Mutual Fund Distributors are explicitly excluded.
C. Funds pay-in is directly received by the clearing corporation from the investor account and funds pay-out is directly made to the investor account.
D. Asset Management Companies (AMCs) must enter into an agreement with the Exchange/Clearing Corporation to provide this mechanism.
E. Stock brokers are permitted to pool funds in a specific 'Mutual Fund Nodal Account' before transferring to the Clearing Corporation.

Answer: A,C,D

Explanation:
StatementA is correct. Statement B is correct. Statement D is correct. Statement C is incorrect as pooling of funds is discontinued. Statement E is incorrect as Mutual Fund Distributors registered with AMFI who are permitted by the stock exchanges can also participate.

NEW QUESTION # 105
If an auction seller, who participated to fulfill a short delivery, fails to deliver the securities on the auction pay-in day, the deal is closed out. What is the specific pricing formula used to charge the defaulting auction seller in this instance?

A. The price at which the auction offer was originally accepted plus a 5% penalty.
B. Highest price from trade day to close out day OR 20% over official closing price on the close out day, whichever is higher.
C. Official closing price on the close out day plus the auction premium.
D. The maximum price of the security recorded during the entire settlement cycle.
E. Highest price prevailing on the Exchange on the auction day only.

Answer: B

Explanation:
When the auction seller fails to deliver the securities on the auction pay-in day, the deal will be closed out at the highest price prevailing across the Exchange from the day on which the trade was originally executed till the day of closing out or 20 percent over the official closing price on the close out day whichever is higher.

NEW QUESTION # 106
Which of the following statements accurately reflect the operational rules and fee structures of the Online Dispute Resolution (ODR) mechanism? (Select all that apply)

A. The ODR Portal allocates disputes to ODR Institutions based on a competitive bidding system for fees.
B. Initiation of the conciliation process after six months from the date of the dispute requires payment of a late fee of Rs 1 ,000 by the initiator.
C. If a Market Participant initiates the dispute resolution process, the fees shall be borne by the MIIs and not the Market Participant.
D. The Market Participant is strictly prohibited from shifting the incidence of fees and charges to the investor/client.
E. For claims of Rs 1 or below, the Sole Arbitrator shall conduct a document-only arbitration process unless a hearing is specifically granted.

Answer: B,D,E

Explanation:
Option A is correct: 'The Market Participant shall not shift the incidence of such fees to the investor/client at any time'. Option B is correct: 'Initiation of conciliation process after six months... will require payment of Rs 1000/- by the initiator'. Option C is correct: When the value of claim... is Rs 1 or below... Sole Arbitrator shall conduct a document-only arbitration process'. Option D is incorrect as allocation is via a 'round-robin system'. Option E is incorrect as fees are borne directly by the Market Participant if it is initiating the process.

NEW QUESTION # 107
Regarding the handling of 'Funded Stocks' purchased under the Margin Trading Facility (MTF), which of the following operational procedures is mandated for the Stock Broker (Trading Member)?

A. Funded stocks must be transferred to the client's beneficiary account immediately without any pledge.
B. Funded stocks must be kept in the broker's 'Pool Account' until the client makes full payment.
C. Funded stocks must be transferred to the client's demat account followed by the creation of an auto-pledge in favor of the broker's 'Client Securities under Margin Funding Account'.
D. Funded stocks should be held in a separate 'Client Collateral Account' and can be re-pledged to the Clearing Corporation for other clients' margin obligations.
E. Funded stocks must be transferred to a 'Client Unpaid Securities Pledgee Account' and disposed of within 5 days if payment is not received.

Answer: C

Explanation:
Funded stocks held by the TMICM under the margin trading facility shall be held by the TM/CM only by way of pledge. Such funded stocks shall be transferred to respective client's demat account followed by creation of an auto-pledge (i.e., without the requirement of a specific instruction from the client) with suitable reason, in favor of 'Client Securities under Margin Funding Account'.

NEW QUESTION # 108
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Reliable NISM-Series-VII Test Pass4sure - NISM-Series-VII Latest Braindumps Pdf

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NISM NISM-Series-VII the latest exam questions and answers free download

NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q103-Q108):

2026 Reliable NISM-Series-VII Test Pass4sure 100% Pass | High Pass-Rate NISM-Series-VII Latest Braindumps Pdf: NISM Series VII - Securities Operations and Risk Management Certification

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