NISM Series VII: Securities Operations and Risk Management Sample Test

NISM Series VII: Securities Operations and Risk Management Sample Test

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Securities Operations and Risk Management certification is suited for professionals associated with securities operations, risk management, clearing and settlement practices in any firm that deals and trades in securities. The certification helps the learner understand the Trade Life Cycle (TLC) and provides basic understanding about Securities Market and its products.
National Institute of Securities Management has specified this examination to be the requisite standard for associated persons of a registered stock-broker / trading member / clearing member in recognized stock exchanges, involved in: assets or funds of investor or clients; redressal of investor grievances; internal control or risk management; activities having a bearing on operational risk.

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30 Questions covering all topics.


FAQs

What is the purpose of SORM certification examination?

The certification creates a common benchmark for professionals involved in securities operations and in dealing & trading of securities.

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Whom is the SORM certification meant for?

Securities Operations and Risk Management certification is suited for professionals associated with securities operations, risk management, clearing and settlement practices in any firm that deals and trades in securities. The certification helps the learner understand the Trade Life Cycle (TLC) and provides basic understanding about Securities Market and its products.

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For whom is the examination mandated?

National Institute of Securities Management has specified this examination to be the requisite standard for associated persons of a registered stock-broker / trading member / clearing member in recognized stock exchanges, involved in: assets or funds of investor or clients; redressal of investor grievances; internal control or risk management; activities having a bearing on operational risk.

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How do I register for the examination?

You can register online for the SORM examination at www.nism.ac.in. You will need a PAN card to register, along with the registration fees.

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What is the structure of the examination?

Objectives of the certification examination are:

  • Securities Operations and Risk Management certification offers learner a detailed understanding about Securities Market and its participants and exposure to Securities Broking Operation
  • It will provide the learner with an understanding of Front Office, Middle Office and Back Office Operations in a Securities Operations Firm.
  • Educate the learner about Risk Management Framework in the cash and F&O segment
  • Develop an understanding about clearing and settlement firm.
  • Understand Grievance and Retention redressal mechanism for investors

Test Duration: 2 hours

Exam Details:

Maximum Marks : 100; Passing Marks: 50. Negative Marks: 25% for wrong answer.

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How do I prepare for the examination?

Preparation time and effort would depend on your current level of understanding and experience in securities operations.

NISM provides a workbook which contains syllabus that is required to clear the examination. At an average, it requires 4-6 hours of study of the workbook to get a thorough understanding of the course material.

  • Some concepts like STT charges for transactions, Arbitration fees etc require the learner to memorise, and will depend on individual capacity.
  • We would also recommend that you go through Mock-tests to get a taste of real exam conditions. Once you apply your theoretical learning into a practical examination, you will understand the status of your preparation.
  • After taking a mock test, you might need to revise your weak topics.

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How can CubeLearn help me in my preparation?

  • CubeLearn offers a question bank with mock-tests and practice questions to help you revise and apply your learnings.
  • Our question bank will scientifically test your preparation, and also share topic-wise score to help you understand your strong and weak areas.
  • We offer detailed explanations for all questions, that help strengthen your concepts.

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How does CubeLearn create their study materials?

A team of trainers creates each question bank. The trainers continue to take these examinations to understand the pattern, and also research test-takers’ pain areas. Explanations provided are detailed and attempt to clarify concepts, and explain the basics.

Weightage to the questions in the question bank, is based on the prescribed weightage in the exam. We cannot predict the exact questions in any particular exam. Our endeavour is to formulate questions and explanations in such a way that learner is fully prepared for the complexity levels of the examination.

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It was really helpful for me to clear the exam.

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Viji John - Kerala

NISM SORM
The question bank is exhaustive. Covers lots of questions on all topics. Helped me clear the exam in my first try.

enrolled for Question Bank

Jaya Sharma - Bhopal

NISM SORM
I would like to thank you for helping me with your question bank. I had not taken any exam for a long while, the Mock Test helped me get into the exam mode, and helped me revise all the concepts.

enrolled for Question Bank

Ganesh Reddy - Hyderabad

NISM SORM


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