NISM-Series-7: Securities Operations and Risk Management (SORM) Mock Tests
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NISM-Series-7: Securities Operations and Risk Management (SORM) Mock Tests 1
100 Questions • Mock Simulation
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NISM-Series-7: Securities Operations and Risk Management (SORM) Mock Tests 2
100 Questions • Mock Simulation
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NISM-Series-7: Securities Operations and Risk Management (SORM) Mock Tests 3
100 Questions • Mock Simulation
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NISM-Series-7: Securities Operations and Risk Management (SORM) Mock Tests 4
100 Questions • Mock Simulation
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NISM-Series-7: Securities Operations and Risk Management (SORM) Mock Tests 5
100 Questions • Mock Simulation
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NISM-Series-7: Securities Operations and Risk Management (SORM) Mock Tests 6
100 Questions • Mock Simulation
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NISM-Series-7: Securities Operations and Risk Management (SORM) Mock Tests 7
100 Questions • Mock Simulation
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NISM-Series-7: Securities Operations and Risk Management (SORM) Mock Tests 8
31 Questions • Mock Simulation
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Locked - Purchase to UnlockThe following are the examination objectives and assessment structure for the NISM-Series-VII: Securities Operations and Risk Management Certification Examination, based on the provided workbook:
Examination Objectives:
On successful completion of the examination, candidates should:
- Know the basics of the Indian securities market, the different products traded, and the various market participants and their respective roles.
- Understand the regulatory framework and the role of the Securities and Exchange Board of India (SEBI).
- Understand the trade life cycle, including the specific steps and participants involved.
- Know the functions of the Front Office, Middle Office, and Back Office within a securities broking firm.
- Understand risk management in a broking firm, alongside the clearing and settlement process.
- Understand procedures for redress of investor grievances.
Assessment Structure:
The examination details are as follows:
- Number of Questions: 100 questions.
- Marks per Question: 1 mark each.
- Duration: 2 hours.
- Passing Score: 50%.
- Negative Marking: There is a negative marking of 25% of the marks assigned to a question (0.25 marks per wrong answer).
Chapter Index and Weightage:
Note: The provided sources do not specify the individual marks weightage for each chapter. The total marks are derived from the overall assessment structure.
| Chapter No | Chapter Name | Weightage (marks) |
|---|---|---|
| 1 | Introduction to the Securities Market | Not Specified |
| 2 | Market Participants in the Securities Market | Not Specified |
| 3 | Introduction to Securities Broking Operations | Not Specified |
| 4 | Risk Management | Not Specified |
| 5 | Clearing Process | Not Specified |
| 6 | Settlement Process | Not Specified |
| 7 | Investor Grievances and Arbitration | Not Specified |
| 8 | Other Services Provided by Brokers | Not Specified |
| Total marks | 100 |
Study Materials
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NISM-Series-7: Securities Operations and Risk Management Workbook
DownloadExam Instructions
- Each test contains multiple-choice questions.
- Each test contains up to 100 multiple-choice questions.
- The last test in a series may contain fewer questions if the bank does not divide evenly.
- Navigate freely between questions.
- Submit test to view your results.
- Good luck!
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