NISM Series VII - SORM Model Question Paper
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Find the model question paper of NISM Series VII - Securities Operations and Risk Management Certification Exam.
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NISM Series VII - SORM Model Question Paper
- 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? A. False B. 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? A. False B. True
- 4. Q.3. Clearing Members are required to open demat accounts with which depository ? A. MCX Depository B. NSDL C. CDSL D. Both 2 and 3.
- 5. Q.4. Financial Instruments which have a maturity period of ______ are known as Money Market Instruments. A. One year or less B. More than one year but less than 4 years C. More than one year but less than 10 years D. 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- A. Executed B. not executed C. out of the money D. 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. A. Superficial B. Descending C. Ascending D. Immediate
- 8. Q.7. In case of a Trading Member / Stock Broker, the operational risk includes: A. Non Delivery of Shares B. Trading Errors C. Non Payment by clients D. All of the above.
- 9. Q.8. In the stock markets, cash transactions with clients are permitted only ___________. A. In exceptional circumstances B. As per limits prescribed by the Income Tax Dept. C. Both ‘a’ and ‘b’ D. Never permitted
- 10. Q.9. Order Management consists of: A. Order entering B. Order modifications C. Order Matching D. All of the Above
- 11. Q.10. The orders which come in the order book are all _________ orders. A. Passive B. Active C. Market D. Limit
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