The examination seeks to create a common minimum knowledge benchmark as the requisite standard for associated persons of a registered stock-broker / trading member / clearing member in recognized stock exchanges, involved in
Stock-broker/trading member/clearing member shall ensure that all persons associated with it and carrying on any activity specified above shall obtain valid certification before December 10 2012.
Most of the Stock Broking Entities have started recruiting candidates with NISM SORM Certificate in order to fulfill their regulatory compliance.
You will receive a hard copy of the workbook ie study material by courier, after enrolment for the examination. We provides Study Notes based on NISM Workbook / Study Material. However candidates are advised to read NISM Workbook / Study Material. Register to download NISM SORM study notes from our site.
|NISM SORM Syllabus||Weightages (Syllabus wise question %)|
|Unit 1: Introduction to Securities Markets||5%|
|Unit 2: Market Participants in the Securities Markets||10%|
|Unit 3: Introduction to Securities Broking Operations||20%|
|Unit 4: Risk Management||15%|
|Unit 5: Clearing Process||15%|
|Unit 6: Settlement Process||15%|
|Unit 7: Investor Grievances and Arbitration||10%|
|Unit 8: Other Services Provided by Brokers||10%|
|NO. OF QUESTIONS||100|
|NEGATIVE MARK||25% FOR WRONG ANSWERS|
|CERTIFICATE VALIDITY||3 YEARS|
|EXAM FEES||Rs 1500/-|