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Home > NISM Series VII : NISM Securities Operations and Risk Management Certification Examination

NISM Series VII : NISM Securities Operations and Risk Management

NISM Series VII : NISM Securities Operations and Risk Management Certification Examination

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NISM-Series VII : NISM Securities Operations and Risk Management Certification Examination

NISM Securities Operations and Risk Management Certification Examination (NISM SORM) is deliberate to create the essential standard for associated persons of a registered stock-broker/ trading member/ clearing member in known stock exchanges, concerned in (a) assets or funds of investor or clients, (b) redressal of investor grievances, (c) internal control or risk management and (d) activities having a bearing on operational risk.

Distribution of weights of the NISM Series VII : NISM Securities Operations and Risk Management

Chapter No. Title Weights(%)
1 Introduction to the Securities Market 5
2 Participants in the Securities Market 10
3 Introduction to Securities Broking Operations 20
4 Risk Management 15
5 Clearing Process 15
6 Settlement Process 15
7 Investor Grievances & Arbitration 10
8 Services Provided by Brokers 10

NISM Securities Operations and Risk Management (NISM Series VII) Certification Exam Details

Name of Module: NISM Series VII : NISM Securities Operations and Risk Management Certification Examination

 Test Fees 
(Rs.)
 Test Duration  
(in minutes)
No. of
 Questions 
Maximum Marks  Pass Marks (%)   Certificate Validity  
(in years)
 Negative Marking 
1500 120 100 100 50 3 25%

NISM Securities Operations and Risk Management Certification Examination : Frequently Asked Questions

1. How can I register for NISM Series VII : NISM Securities Operations and Risk Management Certification Examination?

Candidates can register with any of the following Test Administrators.

a. National Institute of Securities Markets (NISM) https://certifications.nism.ac.in/nismaol/

For registrations candidates may visit any of the above websites.

After successful registration, candidates may select a test centre, date and time slot of their choice on the Test Administrator website. Candidates are required to follow further instructions available on the Test Administrator websites.

2. I have passed NISM Securities Operations and Risk Management Certification Examination (NISM SORM), when will I receive the certificate?

Only the candidates who have produced their Income Tax Permanent Account Number (PAN) during registration would receive the NISM Certificate within two weeks of appearing for the examination.

Candidates who produced other identification proofs would not receive the NISM certificate. They would receive only the temporary mark sheet at the end of the examination.

3. I have not provided my PAN information at the time of taking the certification examination. How do I obtain the certificate?

Candidates who have not provided their PAN information during registration may furnish their PAN details to the Test Administrator they have registered with anytime after taking the examination. After receiving and verifying PAN details, the candidate will receive the certificate from the Test Administrator they have registered with. No additional payments are necessary for obtaining the certificate.

For more FAQs, click here

NISM Securities Operations and Risk Management Articles (NISM SORM), click here

NISM Securities Operations and Risk Management Workbook (NISM SORM), click here to download

For more details around NISM Certifications

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Intelivisto features of the NISM Securities Operations and Risk Management Certification Practice Test (NISM SORM)

  • Intentional as per parameters set by apex securities market institute NISM.
  • Each test has 2 attempts.
  • Covers the dissimilar topics and subject matter outlined for NISM securities operations and risk management certification in details.
  • Take the same pattern and testing mechanism as set for NISM online tests.
  • Covers the questions from units in same ratio as set for respective NISM Series VII : NISM Securities Operations and Risk Management Certification Examination.
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