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NISM Series VII Securities Operations and Risk Management Certification Exam in India
Become a SEBI Registered Risk Management Associate / Officer
- Real exam based MCQs with explanations
- Latest exam pattern mock tests
- Official curriculum based short notes
- NISM Regulatory Licence
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The NISM Series VII Securities Operations and Risk Management (SORM) Certification Exam is one of the most recognized certifications for professionals working in India’s securities market. Conducted by the National Institute of Securities Markets (NISM), the certification establishes a minimum knowledge benchmark for professionals involved in securities operations, client asset handling, clearing and settlement, risk management, compliance, and investor grievance redressal.
Whether you are a finance student, stock market professional, banker, broker, operations executive, or compliance professional, this certification helps you develop practical knowledge of securities market operations and regulatory requirements.
If your goal is to clear the examination in the first attempt, structured preparation combined with regular practice can significantly improve your performance.
Become a SEBI Registered Risk Management Officer - Classroom & Online Mode
Complete Practice test series on Securities Operations and Risk Management Certification Exam in India with based on official curriculum. Be prepare to Become a SEBI Registered Risk Management Associate / Officer.
Introduction to the Securities Market
Learn the structure of Indian financial markets, primary & secondary markets, money market instruments, securities, IFSC and market products.
Market Participants & Regulatory Framework
Understand investors, issuers, intermediaries, SEBI, RBI, depositories, governing Acts, insider trading and market regulations.
Securities Broking Operations
Study the complete trade life cycle, KYC, client onboarding, front office, middle office, back office, trading systems and surveillance.
Risk Management
Master operational risk, margins, exposure limits, VaR, ELM, MTM, circuit breakers, settlement guarantee fund and compliance reporting.
Clearing Process
Learn clearing corporations, clearing members, custodians, depositories, pay-in, pay-out and T+1 settlement mechanism.
Settlement Process
Understand securities settlement, fund settlement, auction process, derivatives settlement, corporate actions and settlement obligations.
Investor Grievances & Arbitration
Learn SCORES, SMART ODR, arbitration process, investor protection fund (IPF), grievance handling and dispute resolution.
Other Services Provided by Brokers
Explore IPO services, Mutual Fund platform, PMS, Research Advisory, Depository Services, Margin Trading Facility and Internet-Based Trading.
Annexure: Code of Conduct for Stock Brokers
Understand ethical practices, client responsibilities, professional conduct and regulatory obligations of stock brokers.
certification partners
Professional Training Academy Founder
Rohan Sharma (Founder Professional Training Academy)
Qualification :(ACS, CFP, CMT Coach and SEBI – Registered Research Analyst, Investment Advisor)
Specialization: Technical Analyst, Option Strategy Analyst, Portfolio Management.
Experience: 11 Years . He is Successfully running Training Academy in the Field of Financial Markets from last 11 years . Also get specialization in Equity, Commodity, Currency, Derivatives, Option strategies, Portfolio management Services & about the working in broking houses and also ascertain the requirement of corporate broking houses from their employees. He has promoted the Professional Training Academy for Best Share Market Course in Jaipur, Rajasthan to create a strong knowledge platform for individuals who are inclined towards getting an in-depth knowledge & start career in Capital Market. Now he becomes resource person of NSE, FPSB India, and Morgan International & IIBF. He also becomes member of analyst panel of Zee Business & CNBC TV Awaaz .
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Career Opportunities After NISM Series VII
Technical Analyst
Every Brokerage house required analyst to help their customers in personal to take wise & viable decision making to trade in various instrument in the financial markets. Brokerage Houses business is mainly depend on analyst performance which create best return for the customers.
Technical Analyst
All financial decision making requires best trading strategy that works in all kind of markets. For maximize profits every investor require trading strategy with minimize risk involved in portfolio. Derivative analyst help customers to create most suitable trading strategy according to the condition prevail in markets.
Investment Advisors
Now a days brokers provide complete financial planning solution which includes investment, insurance, retirement planning & tax planning.They provide personalized services & solutions to their customers to fulfill their financial needs on every day basis.
Registered Research Analyst
Candidate is ready to become registered research analyst licensed by SEBI to provide the research & trading strategies to their customers. Candidate also represent their advises on the public domain like website or financial news channel.
Relationship Manager
Relationship manager play a vital role in the revenue generation for the organization. He is manage front end operation & directly managing customers on personal basis. A active & efficient relationship manager create brand & reputation & help organization to achieve their goals.
Portfolio Manager
After attaining the necessary skill , knowledge of markets & tools & application of trading strategies in real time markets along with back testings. Candidate also offering services of personalized portfolio management services or working with the portfolio management services based companies.
NISM Series Students Reviews
Why Choose Professional Training Academy
We are keep close working with industry needs & customised our program accordingly
Placement Assistance
We constantly connect with the industry people and many recruiters to provide best advantage to the Technical Analysis students.
Live
Interships
To create corporate ready students we manage to provide internship with stipend and also provide certain industry certifications by professional bodies .
Industry Expert Faculty
Industry Experts which also provide industry insights and current trend and apply tools & indicators in Real time Markets.
NISM Series VII Securities Operations and Risk Management Study Material
NISM Series VII SORM Certification Exam in India
Become a Certified Risk Management Associate / Officer-
Personal Finanacial Planing
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Indian Financial Markets
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Investment Products
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Investment Through Managed Portfolio
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Portfolio Construction
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Performation Monitoring and Evoluation
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Operation, Regulatory Enviornment , Compilance and Ethics
Become a certified Risk Management Associate / Officer
Build a rewarding career in India’s financial markets by becoming a Certified Risk Management Associate / Officer through the NISM Series VII: Securities Operations and Risk Management (SORM) Certification Exam. This certification is designed for professionals involved in securities operations, client asset handling, clearing and settlement, internal controls, regulatory compliance, operational risk management, and investor grievance redressal. It serves as a recognized knowledge benchmark for associated persons working with registered stock brokers, trading members, and clearing members.
NISM Series VII Securities Operations and Risk Management FAQ's
The NISM Series VII Securities Operations and Risk Management (SORM) Certification Exam is conducted by the National Institute of Securities Markets (NISM). It establishes a minimum knowledge benchmark for professionals involved in securities operations, client asset handling, operational risk management, internal controls, clearing and settlement, and investor grievance redressal.
This NISM Series VII Certification Exam is suitable for:
- Stock Broking Professionals
- Trading Members
- Clearing Members
- Securities Operations Executives
- Risk Management Professionals
- Compliance Officers
- Back Office Executives
- Depository Participants
- Banking Professionals
- Wealth Managers
- Investment Advisors
- Finance Students
- MBA Finance, B.Com and M.Com Students
- Anyone planning a career in India’s securities market.
The NISM Series VII SORM syllabus includes:
- Introduction to Securities Market
- Market Participants
- Securities Broking Operations
- Trade Life Cycle
- Front Office Operations
- Middle Office Operations
- Back Office Operations
- Risk Management
- Clearing Process
- Settlement Process
- Depositories
- Investor Grievance Redressal
- Regulatory Framework
- Compliance & Reporting
- IPO Services
- Mutual Fund Services
- Portfolio Management Services
- Research Reports
- Internet-Based Trading
- Code of Conduct for Stock Brokers
According to NISM Series VII, the examination consists of:
- 100 Multiple Choice Questions (MCQs)
- 100 Marks
- 2 Hours Duration
- Passing Marks: 50%
- 25% Negative Marking for Incorrect Answers
An effective preparation strategy for the NISM Series VII Exam includes:
- Reading the latest official syllabus
- Solving chapter-wise practice questions
- Attempting full-length mock tests
- Revising with short notes
- Practising previous exam-level MCQs
- Reviewing weak topics through performance analysis
Regular practice improves speed, accuracy, and confidence.
After passing the certification, you can apply for positions such as:
- Risk Management Associate
- Risk Management Officer
- Securities Operations Executive
- Compliance Officer
- Back Office Executive
- Clearing & Settlement Executive
- Depository Operations Executive
- Trade Support Executive
- Investment Operations Associate
- Stock Broking Operations Executive
- Capital Market Executive
Professionals with this certification are valued by:
- Stock Broking Companies
- Commercial Banks
- Investment Banks
- Asset Management Companies
- Wealth Management Firms
- Depository Participants
- Clearing Corporations
- FinTech Companies
- Financial Services Firms
- Capital Market Intermediaries