NISM Series VII - SORM Model Question Paper

Find the model question paper of NISM Series VII - Securities Operations and Risk Management Certification Exam.

1. NISM Series VII – (SORM) Model Question Paper If you are looking for NISM Series VII - Securities Operations and Risk Management Model Question Paper then you are at the right place. Just move to the next page to grab demo questions of NISM Series VII - Securities Operations and Risk Management.

2. Q.1. A Stock Broker cannot provide Portfolio Management Services but can only do brokerage activities - State whether True or False? False True

3. Q.2. A Sub broker is a person who is not a member of any stock exchange but who acts on behalf of a trading member – True or False? False True

4. Q.3. Clearing Members are required to open demat accounts with which depository ? MCX Depository NSDL CDSL Both 2 and 3.

5. Q.4. Financial Instruments which have a maturity period of ______ are known as Money Market Instruments. One year or less More than one year but less than 4 years More than one year but less than 10 years Above 5 years but below 10 years

6. Q.5. For an order which is partially executed, it can be modified to the extent it is- Executed not executed out of the money in the money

7. Q.6. If two or more orders are received on the exchange trading system at the same price, then they are matched in __________ time order. Superficial Descending Ascending Immediate

8. Q.7. In case of a Trading Member / Stock Broker, the operational risk includes: Non Delivery of Shares Trading Errors Non Payment by clients All of the above.

9. Q.8. In the stock markets, cash transactions with clients are permitted only ___________. In exceptional circumstances As per limits prescribed by the Income Tax Dept. Both ‘a’ and ‘b’ Never permitted

10. Q.9. Order Management consists of: Order entering Order modifications Order Matching All of the Above

11. Q.10. The orders which come in the order book are all _________ orders. Passive Active Market Limit

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