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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q271-Q276):

NEW QUESTION # 271
To provide depository services to investors, a stock broker or trading member must register as a Depository Participant (DP). Under which specific legislative framework is this registration mandated and governed?

Answer: B

Explanation:
To provide depository services, the broker or the trading member has to get registered as a depository participant of a depository as per the SEBI Act 1992 and the Depositories Act of 1996.


NEW QUESTION # 272
Which of the following items are mandated contributions by the Stock Exchange to the Investor Protection Fund (IPF) according to SEBI guidelines? (Select all that apply)

Answer: A,B,D,E

Explanation:
Option A (1 % listing fees), Option B (LODR penalties), Option D (Interest on security deposit), and Option E (Client code modification penalties) are all listed as contributions to the IPF in the source text,. Option C (20% of listing fees) is incorrect for IPF; it applies to the Investor services Fund OSF).


NEW QUESTION # 273
In the context of facilitating Initial Public Offerings (IPO), how does the electronic trading infrastructure of broking firms specifically assist investors and the process?

Answer: E

Explanation:
The text explains that 'The IPO process is facilitated by brokers as their system is connected with the stock Exchanges main IPO system and online uploading of forms is carried out. Thus, at any given time, the online status is available on the stock Exchanges.'


NEW QUESTION # 274
In the context of risk management for the T+0 settlement cycle, how are securities shortages handled if a selling member fails to deliver shares?

Answer: E

Explanation:
The source states that '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 T+0 market.'


NEW QUESTION # 275
When a Partnership Firm registered under the Indian Partnership Act, 1932 applies for admission as a member of a Stock Exchange, which specific structural requirement must be identified and maintained as per Exchange norms?

Answer: C

Explanation:
As per the eligibility criteria for Partnership Firms, the applicant must identify a Dominant Promoter Group as per the norms of the Exchange at the time of making the application. Any change in the shareholding of the partnership firm, including that of the Dominant Promoter Group or their sharing interest, requires prior permission from the Exchange/SEBI.


NEW QUESTION # 276
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