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Updated: Jul 02, 2026
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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions:
1. SEBI designates certain stock brokers as 'Qualified Stock Brokers' (QSBs) based on specific parameters to ensure appropriate governance and risk management. Which of the following parameters are explicitly considered for designating a stock broker as a QSB?
(Select all that apply)
A) The total number of active clients of the stock broker.
B) The proprietary trading volumes of the stock broker.
C) The number of sub-broker offices managed by the stock broker.
D) The available total assets of clients with the stock broker.
E) The net worth of the stock broker's promoter group.
2. Regarding the 'Direct Pay-out' of securities mandated by SEBI vide circular dated June 05, 2024, which of the following operational changes has been implemented concerning the credit of securities and the settlement timing?
A) Direct pay-out is applicable only for Institutional Clients, while Retail Clients continue to receive shares via the Broker's Pool Account.
B) Securities are credited to a temporary 'Client Unpaid Securities Account' maintained by the Clearing Corporation until funds are cleared.
C) Securities are credited directly to the client's demat account by the Clearing Corporation, and the pay-out timing is revised from 1 PM to 3:30 PM.
D) The pay-out timing remains 1 PM, but the securities are credited to the client's account on T+2 day instead of T+1.
E) Securities are credited to the Broker's Pool Account by 1 PM, and the broker must transfer them to the client by 3:30 PM on the same day.
3. In the context of the T+1 Rolling Settlement schedule for the Cash Market, which of the following specific deadlines is mandated for the completion of custodial confirmation of trades to the Clearing Corporation?
A) By 7:30 AM on T+1 day
B) By 11:00 AM on T+1 day
C) By 9:00 AM on T+1 day
D) By 8:30 AM on T+1 day
E) By 4:15 PM on T day
4. Which of the following statements accurately describe the process and components of 'Delivery Settlement' in the equity F&O segment?
(Select all that apply)
A) Delivery settlement is optional and can be cash settled if the client chooses.
B) It considers all open futures positions after the close of trading on the expiry day.
C) It considers all in-the-money option contracts which are exercised and assigned.
D) The final deliverable/receivable positions at a clearing member are arrived at after netting the obligations of all clients/constituents clearing through them.
E) It applies to Index Futures and Index Options.
5. 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?
A) Net Qty: 0; Net Funds: Receive Rs. 1,500
B) Net Qty: 1000 (Receive); Net Funds: Pay Rs. 100,500
C) Net Qty: 400 (Receive); Net Funds: Pay Rs. 69,000
D) Net Qty: 400 (Receive); Net Funds: Pay Rs. 37,500
E) Net Qty: 400 (Deliver); Net Funds: Receive Rs. 37,500
Solutions:
| Question # 1 Answer: A,B,D | Question # 2 Answer: C | Question # 3 Answer: A | Question # 4 Answer: B,C,D | Question # 5 Answer: D |
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