03/04/2020
Securities Operations & Risk Management ( SORM ). This NISM Series 7 exam is a compulsory exam for employees of 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.
Who can write / should write this SORM exam?
Approved users (Dealers) of the trading member of a Registered Stock Broker or Trading Member or Clearing Member of a recognized stock exchange.
Employees of Stock Brokers and Sub-Brokers in Capital Market Segment
Students of all discipline but would be most useful to MBA Finance, B.Com, M.Com, Lecturers, and Professors etc.
Anybody having interest in the Capital Market Segment
2-3 weeks per Course - Approx 10-12 Online Classes.
Complete Study Material will be provided before commencement of the Classes.
Mock Test after Completion of Course
Guidance for Registration to Courses and Exam
Fees - Rs 1500
Syllabus Outline for NISM SORM Exam
NISM SORM Syllabus
Unit 1: Introduction to Securities Markets
Unit 2: Market Participants in the Securities Markets
Unit 3: Introduction to Securities Broking Operations
Unit 4: Risk Management
Unit 5: Clearing Process
Unit 6: Settlement Process
Unit 7: Investor Grievances and Arbitration
Unit 8: Other Services Provided by Brokers