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

1. Regarding 'Two-factor authentication' for login sessions in Internet Based Trading (IBT), which of the following implementation details is explicitly advisable/required?

A) It should be implemented using only SMS-based OTP without any other factor.
B) Two-factor authentication is optional and can be replaced by a static high-complexity password.
C) Public Key Infrastructure (PKI) based implementation using digital signatures is advisable, and the two factors should not be the same.
D) The second factor must always be biometric verification.
E) The two factors should be identical (e.g., two different passwords).

2. Under Section 12 of the Prevention of Money Laundering Act (PMLA), 2002, what is the mandatory retention period for documents evidencing the identity of clients and beneficial owners?

A) Seven years from the date of the suspicious transaction report filing.
B) Ten years from the date of account opening.
C) Five years after the business relationship between a client and the reporting entity has ended or the account has been closed, whichever is later.
D) Two years from the date of the last transaction in the account.
E) Five years from the date of the specific transaction.

3. Identify the correct combination of the minimum Net Worth requirement for a Portfolio Manager and the minimum investment amount they must accept from a client (excluding accredited investors/co-investment managers) as per current regulations.

A) Net Worth: Rs. 2 Crore; Minimum Investment: Rs. 25 Lakh
B) Net Worth: Rs. 10 Crore; Minimum Investment: Rs. 1 Crore
C) Net Worth: Rs. 3 Crore; Minimum Investment: Rs. 50 Lakh
D) Net Worth: Rs. 5 Crore; Minimum Investment: Rs. 50 Lakh
E) Net Worth: Rs. 5 Crore; Minimum Investment: Rs. 25 Lakh

4. To ensure compliance while providing research-based advisory services, brokerage houses must adhere to specific regulations and circulars. According to the NISM workbook, which of the following represents the governing framework for Research Reports?

A) SEBI (Research Analysts) Regulation, 2014 and Master Circular for Research Analyst dated May 21 , 2024
B) Securities Contracts (Regulation) Rules, 1957 and SEBI (Prohibition of Insider Trading) Regulations, 2015
C) SEBI (Portfolio Managers) Regulations, 2020 and Master Circular dated March 20, 2023
D) SEBI (Investment Advisers) Regulations, 2013 and Master Circular dated December 16, 2020
E) SEBI (Stock Brokers) Regulations, 1992 and Master Circular dated May 21 , 2024

5. When a company announces a Bonus Issue in the ratio of A:B, specific adjustments are made to the Strike Price, Market Lot, and Position of Equity F&O contracts. Which of the following formulas correctly represents the Adjustment Factor used for these calculations?

A) (A - B) / B
B) (A * B) / (A + B)
C) (A + B) / B
D) B / (A + B)
E) A / (A + B)

Solutions: