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NISM Securities Operations and Risk Management – NISM SORM

NISM Securities Operations and Risk Management Exam - NISM VII - NISM SORM Exam

The NISM Securities Operations and Risk Management Certification Examination is also called NISM VII or NISM SORM Certification. The exam was launched on November 22, 2010. It is an entry level exam for professionals working in operations area in stock broking or similar firms. Our team has drafted a few FAQs about the examination for the benefit of exam takers.

Whom is the NISM Securities Operations and Risk Management Certification Examination mandatory for?

The NISM SORM examination seeks to create a common minimum knowledge benchmark as the requisite standard for associated persons of a registered stock-broker / trading member / clearing member in recognized stock exchanges, involved in

  • internal control or risk management and
  • assets or funds of investor or clients
  • redressal of investor grievances,
  • activities having a bearing on operational risk

What topics are covered under the NISM Securities Operations and Risk Management Certification Examination?

The NISM Securities Operations and Risk Management Certification Examination covers the following topics:

  • Basics of the Indian securities market, the different products traded and the various market participants and the respective roles they play in the Indian securities market.
  • Regulatory framework and the role of the Securities Exchange Board of India.
  • Various functions of the Front Office, Middle Office and Back Office in a Securities Broking Firm.
  • Trade life cycle, the steps and participants involved in the trade life cycle and the role of the back office in a securities broking firm.
  • How the risks are managed in a securities broking firm, the clearing and settlement process.
  • Process of investor grievances redressal

All the above topics are covered in detail in the NISM SORM exam.


Where can I obtain the NISM VII Study Material?

Soft copy of the NISM Securities Operations and Risk Management Study Material can be downloaded free of cost from our website. If you wish to purchase a physical copy of NISM Securities Operations and Risk Management study material, you can purchase it online and the book will be delivered to your address. The NISM VII and other NISM books are also available at major bookstores across India.


Where can I find NISM mock test for NISM Securities Operations and Risk Management Exam?

Free NISM VII Securities Operations and Risk Management Mock Test for NISM Series VII Securities Operations and Risk Management Exam is available at our website. The mock test consists of 20 sample questions and can be accessed by logging into our website. Premium NISM Mock Test for NISM Securities Operations and Risk Management Exam consisting of 7 premium quality mock tests with 700 questions is also available at Rs. 399/- only. Each NISM mock test has a validity of 90 days and can be attempted 10 times during the subscription period.


How can I register and enroll for the NISM Securities Operations and Risk Management Exam?

Registration and Enrollment for all NISM Certification Examinations can be done online through NISM Certification Portal or PrepCafe Academy’s NISM Registration Services.

For Registration to the NISM Certification portal, you should have your

  • Permanent Account Number (PAN),
  • Scanned Copy of your PAN Card,
  • Soft Copy of your photograph,
  • a valid email address and
  • your basic details such as your
    • Name,
    • Date of Birth,
    • Educational Details,
    • Employment Details, etc.

After successful submission of the online NISM Registration form, you will receive a NISM Registration Number and an activation link on your email. You will need to click on the activation link to activate your NISM Account. After activation, you will be able to login.

After login using your email and password, you need to goto “Enrolment” -> “Enroll for Examination” link and following the following steps:

Step 1: Selection of Examination: Here you need to select the NISM Series VII Securities Operations and Risk Management Examination.

Step 2: Check Seat Availability: Select the Exam City, Test Centre of your choice and the Date Range during which you wish to take the exam.

Step 3: Select a Time Slot: You will shown the availability of Test Slots for the exam. Select one and click “Enroll for the Examination”.

Step 4: Make Payment: Please accept the terms and conditions and proceed for online payment using credit card, debit card or internet banking.

After successful payment, your Admit Card will be generated. You should carry this admit card and an original identity card to the examination centre, 30 minutes before the actual exam time. Acceptable identity cards are PAN Card, Driving License, Passport, Aadhar Card only.


What is the assessment structure for NISM Series VII Securities Operations and Risk Management Certification Examination?

DURATION

120 MINUTES

NO. OF QUESTIONS

100

MAXIMUM MARKS

100

PASS MARKS

50

NEGATIVE MARKS

25% FOR EACH WRONG ANSWER

CERTIFICATE VALIDITY

3 YEARS FROM DATE OF EXAM

EXAM FEES

Rs. 1500/-


What is the syllabus outline for NISM Series VII Securities Operations and Risk Management Certification Examination?

Chapter No.

Chapter Name

Weightages %

1

Introduction to Securities Markets

5%

2

Market Participants in the Securities Markets

10%

3

Introduction to Securities Broking Operations

20%

4

Risk Management

15%

5

Clearing Process

15%

6

Settlement Process

15%

7

Investor Grievances and Arbitration

10%

8

Other Services provided by Brokers

10%

 

Total

100%

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