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NISM Securities Operations and Risk Management Exam Pattern
- Exam Fees
- Test Duration
- Total Questions
- Maximum Marks
- Passing Marks
- Negative Marking
NISM SORM Syllabus Outline
NISM Mutual
- Rs. 1500 +
- 2 Hours
- 100 Questions
- 100 marks
- 50% (50 Marks)
- – 25% of the marks assigned to the question
- Unit 1
- Unit 2
- Unit 3
- Unit 4
- Unit 5
- Unit 6
- Unit 7
- Unit 8
- Introduction to the Securities Market
- Market Participants in the Securities Market
- Introduction to the Securities Broking Operations
- Risk Management
- Clearing Process
- Settlement Process
- Investor Grievances and Arbitration
- Other Services Provided by Brokers
NISM Series VII: Securities Operations and Risk Management Mock Test
Master the NISM Series VII: Securities Operations and Risk Management Certification Exam effortlessly with our comprehensive package! Access the study material and a free demo test designed to assist you in achieving a solid grasp of the content. Enjoy the convenience of downloading the NISM Official Workbook.
Explore the Exam and Question Bank particulars
NISM Series VII: Securities Operations and Risk Management Mock Test and NISM VII Question Bank details
The NISM Series VII – Securities Operations and Risk Management Certification Exam is essential for professionals in securities operations and risk management roles. Designed to elevate operational efficiency and mitigate risks in financial institutions, it equips candidates with essential knowledge and skills. By focusing on industry best practices, it ensures compliance and contributes to the integrity of the securities market.
Examination Objectives
The objectives of the NISM Series VII – Securities Operations and Risk Management Certification Exam include:
Operational Efficiency: Assessing candidates’ understanding of securities operations, including settlement processes, clearing mechanisms, and trade lifecycle management, to enhance operational efficiency in financial institutions.
Risk Management: Evaluating candidates’ knowledge of risk management principles and techniques, including identification, measurement, and mitigation of various risks such as credit risk, market risk, liquidity risk, and operational risk.
Regulatory Compliance: Ensuring candidates are familiar with regulatory requirements governing securities operations, including relevant laws, regulations, and guidelines issued by regulatory authorities such as SEBI (Securities and Exchange Board of India) and RBI (Reserve Bank of India).
Market Integrity: Emphasizing the importance of maintaining market integrity and fairness through adherence to ethical standards, best practices, and regulatory compliance in securities operations.
Investor Protection: Promoting investor protection by testing candidates’ understanding of investor rights, responsibilities, and the role of securities operations in ensuring fair and transparent markets.
Assessment Structure
The NISM Series VII: Securities Operations and Risk Management Certification Examination will have a total of 100 marks, with 100 questions, each carrying a weight of 1 mark. Candidates are allotted 2 hours to complete the exam. Negative marking of 25% of the marks assigned to each question will be applied for incorrect answers. The passing score for the examination is set at 50%.
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