NISM Operations Risk Management | Mock Test NISM VII Securities

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Mock Test NISM Series VII Securities Operations And Risk Management

Mock Test NISM Series VII Securities Operations And Risk Management

1 / 10

Arbitration aims at ________ legal resolution for the disputes.

2 / 10

Who is the backbone of the securities market?

3 / 10

What is the action taken when there is a failure on part of the broker to deliver the securities?

4 / 10

Corporate action adjustments are done on all __________ positions

5 / 10

In case of sale of securities, what instruction should be given to the DP, upon receipt of intimation of execution of trade from broker with whom he maintains the demat account.

6 / 10

What kind of accounts is used to receive shares from selling clients and to send shares to buying clients?

7 / 10

The process of original trade being cancelled and the clearing agency taking over as counterparty to all trades is called

8 / 10

Clearing members need to take membership with the

9 / 10

Members Contract books showing details of all contracts entered by the broker needs to be maintained for 10 years as per the Rule 15 of SCRR.

10 / 10

The sauda book of the register of transactions needs to be maintained by the broker for a period of 2 years.

Your score is

The average score is 75%


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