S. No UNIT NAME WEIGHTAGE
1 Introduction to Securities Market 5%
2 Market Participants in the Securities Markets 10%
3 Introduction to Securities Broking Operations 20%
4 Risk Management 15%
5 Clearing Process 15%
6 Settlement Process 15%
7 Investor Grievances and Arbitration 10%
8 Other Services Provided by Brokers 10%

SORM FAQs

NISM VII: SORM exam preparation options

Related Posts

Prerequisites to build a career in investment banking?

What are the prerequisites to build a career in investment banking? Banking has various divisions and investment banking is one specific division that is related to creating capital for entities, companies, and the government. The investment banks help underwrite new equity and debt for all types of corporations, selling securities, facilitating mergers and acquisitions, broker […]

How can NISM certifications help in planning/building a career in finance?

How can NISM certifications help in planning/building a career in finance? With the dynamic nature of the world finance industry, it is critically important to keep updated in knowledge and certifications, so as to secure the best jobs at the right time and give your career the right direction from the very beginning. If you […]

How to choose Registered Investment Advisor (RIA) In India?

How To Choose Registered Investment Advisor (RIA) In India? In India, financial services are regulated by securities and exchange board of India (SEBI). The ones who are registered with SEBI can only provide financial advice to the clients as an authorized investment advisor. The investment advisors need to abide by RIA regulations to do the […]

Difference between wealth management and financial planning

What is the difference between wealth management and financial planning? There is a fine line between wealth management and financial planning. This line is often confused by the financial advisor and in turn, they confuse clients. Often both are thought to be the same for the wealthier bunch of people, as both processes fall under […]