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

1. In the context of the 'SEBI Complaints Redress System (SCORES 2.0)', which of the following accurately describes the 'Review' mechanism available to a complainant who is dissatisfied with the resolution provided by the regulated entity?

A) A single-level review conducted directly by the Securities Appellate Tribunal (SAT).
B) A review by the Investor Service Centre of the nearest Stock Exchange within 30 days.
C) No review option is available; the complainant must approach the civil court immediately.
D) Two levels of review: First by the 'Designated Body' and Second by SEBI.
E) A mandatory arbitration process initiated automatically upon dissatisfaction.

2. Various intermediaries play specific roles in the securities ecosystem. Which specific group of intermediaries is described as providing 'important infrastructure services' to both the primary and secondary markets?

A) Merchant Bankers and Underwriters
B) Investment Advisors and Research Analysts
C) Registrars and Transfer Agents, Custodians, and Depositories
D) Stock Brokers and Sub-brokers
E) Foreign Portfolio Investors (FPls) and Mutual Funds

3. According to the SEBI (International Financial Services Centres) Guidelines, 2015, which of the following criteria must a 'Person resident in India' satisfy to deal in securities listed in the IFSC?

A) They are eligible under FEMA to invest funds offshore, to the extent allowed under the Liberalized Remittance Scheme (LRS).
B) They must represent a corporate body incorporated in India with a minimum turnover of INR 100 Crore.
C) They must invest only through a Foreign Portfolio Investor (FPI) registered in the IFSC.
D) They are restricted to investing solely in Debt Securities issued by eligible issuers.
E) They must be a High Net-worth Individual (HNI) with a minimum net worth of INR 5 Crore.

4. In the context of facilitating Initial Public Offerings (IPO), how does the electronic trading infrastructure of broking firms specifically assist investors and the process?

A) Brokers determine the IPO issue price through an internal book-building process independent of the exchange.
B) Brokers physically collect all applications and manually courier them to the Registrar, bypassing the electronic system.
C) Brokers fund the entire IPO application amount for the investor interest-free.
D) Brokers' systems are connected with the Stock Exchanges' main IPO system, allowing for the online uploading of application forms.
E) Brokers provide a guarantee of allotment to their registered clients for every IPO application.

5. Stock brokers are required to maintain evidence of clients placing orders to prevent unauthorized trades. Which of the following statements accurately describes the regulatory requirements regarding the forms of evidence and the retention period?

A) Telephone recordings are mandatory only for institutional clients and must be kept for 2 years.
B) In case of a dispute, records can be disposed of immediately after the broker files a response.
C) Evidence is optional for internet-based transactions and must be retained for 1 year.
D) Evidence can be physical records, telephone recordings, emails, or SMS logs, and must be retained for a minimum of 3 years.
E) Evidence must be physical records only, retained for 5 years.

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