100% Pass Quiz 2026 NISM NISM-Series-VII Authoritative Latest Test Question
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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q261-Q266):
NEW QUESTION # 261
Periodic settlement of running accounts is mandatory for most clients. However, under which of the following specific circumstances is the periodic settlement of funds **NOT** necessary to the extent of funds involved?
- A. For clients availing Margin Trading Facility (MTF), to the extent of funds/securities relating to MTF used by the client.
- B. For Non-Resident Indian (NRI) clients dealing through the Portfolio Investment Scheme (PIS).
- C. For clients who have a credit balance of less than Rs. 10,000.
- D. For High Net Worth Individuals (HNIs) who have provided a 'Do Not Settle' instruction.
- E. For clients trading in the derivatives segment with open positions, even if they have excess free cash.
Answer: A
Explanation:
Such periodic settlement of running account may not be necessary for clients availing margin trading facility (MTF) as per SEBI circular, to the extent of funds/securities relating to MTF used by client. It is also not necessary for funds received in the form of BG/FDR or for institutional clients settling trades through custodians.
NEW QUESTION # 262
Since auction sessions are not applicable under the T+0 settlement cycle, how are securities shortages handled by the Clearing Corporation?
- A. Shortages are directly closed out at above the highest price of the day across all exchanges for the T+0 market.
- B. Shortages are directly closed out at a rate of 20% above the official closing price of the T+1 market.
- C. Shortages are carried forward to the T+1 auction session conducted on the next day.
- D. Shortages are deemed as 'bad delivery' and the trade is annulled immediately.
- E. Shortages are settled by borrowing securities from the Securities Lending and Borrowing (SLB) segment automatically.
Answer: A
Explanation:
In the T+0 settlement cycle, an auction shall not be conducted in case of securities shortage. Security shortages shall be directly closed out at 10% above the highest price of the day across all exchanges for the T+0 market.
NEW QUESTION # 263
A transferee (buyer) in the depository system wishes to receive securities into their demat account. What is the operational requirement regarding 'Standing Instructions' (SI) for this process?
- A. Standing Instructions are valid only for off-market transfers and not for market trades.
- B. The SI functionality has been replaced entirely by the Demat Debit and Pledge Instruction (DDPI).
- C. Standing Instructions allow the DP to debit the account without a Delivery Instruction Slip (DIS).
- D. Standing Instructions are mandatory for all accounts; without them, the account remains inactive.
- E. If 'Standing Instructions' are not given, the transferee must give separate Receipt Instructions each time to the DP to receive securities.
Answer: E
Explanation:
The transferee has to submit Receipt Instruction to receive securities into his account. However, for the convenience of investor, transferee can give 'Standing Instructions' (SI) to its DP for receiving in securities. If OSI' is not given, then the transferee has to give separate instructions each time for receiving the securities.
NEW QUESTION # 264
Which specific regulation defines a 'Clearing Corporation' as an entity established to undertake the activity of clearing and settlement of trades in securities or other instruments dealt on a recognized stock exchange?
- A. SEBI (Intermediaries) Regulations, 2008
- B. Depositories Act, 1996
- C. Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2018
- D. Securities Contracts (Regulation) Rules, 1957
- E. SEBI (Stock Brokers) Regulations, 1992
Answer: C
Explanation:
The Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2018 defines a Clearing Corporation as an entity established to undertake the activity of clearing and settlement of trades in securities or other instruments or products that are dealt with or traded on a recognized stock exchange.
NEW QUESTION # 265
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; The server location is at the discretion of the service provider.
- B. Session login details must be encrypted and stored on the device; The server must be located within the Exchange premises.
- C. 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.
- D. Session login details can be stored if biometric auth is enabled; The server must be located in a Tier-1 city.
- E. Session login details can be stored on the device for ease of access; The server can be located anywhere globally.
Answer: C
Explanation:
The guidelines specify that Session login details should not be stored on the devices used for internet-based trading and securities trading using wireless technology. Furthermore, The broker's server routing orders to the exchange trading system shall be located in India.
NEW QUESTION # 266
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