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

1. In the context of 'Network Security' for Internet Based Trading systems, specific measures are mandatory to protect the exchange connectivity. Which of the following accurately describes the requirement regarding Firewalls and Server Access?

A) Suitable Firewalls must be placed between the Internet trading set-up and the trading set-up directly connected to the Exchange; Server access must use Secured Socket Level Security.
B) Firewalls must be placed only at the client terminal end; Server access requires a static IP address without SSL.
C) Firewalls are optional if 2FA is implemented; Server access must use HTTP protocol.
D) Firewalls are required only for Wireless Trading; Server access must use simple text authentication.
E) Suitable Firewalls must be placed between the broker's back office and the Internet; Server access must use VPN only.

2. Under the SEBI (Prohibition of Insider Trading) Regulations, 2015, which of the following parties is deemed to be a 'Connected Person' unless the contrary is established?

A) A banker of the company.
B) A shareholder holding 5% interest in the company.
C) An individual who has never held a position in the company.
D) A former employee who left the company 12 months prior to the act.
E) A vendor supplying office stationery on a one-off basis.

3. Based on the 'Cyber Security and Cyber Resilience Framework (CSCRF)' for Stock Brokers, which of the following correctly match the 'Cyber Resiliency Goals' with their definitions? (Select all that apply)

A) Withstand: Restore business functions to the maximum extent subsequent to adversary attacks.
B) Recover: Continue essential business functions at times of adversary attacks.
C) Contain: Localise containment of crisis and isolate trusted functions from untrusted ones to continue business operations.
D) Anticipate: Maintain a state of informed preparedness from adversary attacks.
E) Evolve: To change business functions and its supporting cyber capabilities to minimize adverse impacts of adversary attacks.

4. A clearing member fails to discharge their funds obligations at the notified time. According to the NISM workbook, this failure renders the member liable for specific consequences regarding their operations. Which of the following is explicitly mentioned as a potential liability/action?

A) Mandatory liquidation of all client assets held in the pool account.
B) Withdrawal of trading facility.
C) Immediate transfer of the clearing member's proprietary trades to the Investor Protection Fund.
D) Automatic cancellation of the certificate of registration by SEBI.
E) Suspension of the clearing bank's license.

5. For the purpose of identifying an 'extra-ordinary' dividend (which triggers adjustment in Equity F&O), the declared dividend must be at and above 2% of the market value of the underlying stock. How is this 'market price' specifically defined for the calculation?

A) The volume-weighted average price (VWAP) of the scrip on the cum-dividend date.
B) The closing price of the scrip on the record date fixed for the purpose of dividend payment.
C) The closing price of the scrip on the day previous to the date on which the announcement of the dividend is made by the Company after the Board meeting.
D) The closing price of the scrip on the date of the Annual General Meeting (AGM) where the dividend is approved.
E) The average closing price of the scrip for the last 5 trading days prior to the record date.

Solutions: