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 National Institute of Securities Markets
Communiqué/Press Release

 

NISM-Series-VII: Securities Operations and Risk Management Certification Examination
NISM/Certification/Series-VII: SORM/2010/01 dated November 11, 2010

 

In exercise of the powers conferred by sub-regulation (3) of regulation 7 of the Securities and Exchange Board of India (Certification of Associated Persons in Securities Markets) Regulations 2007, National Institute of Securities Markets (NISM) in consultation with the Securities and Exchange Board of India hereby specifies the NISM-Series-VII: Securities Operations and Risk Management Certification Examination as the requisite standard for associated persons of a registered stock-broker / trading member / clearing member in recognized stock exchanges, involved in (a) assets or funds of investor or clients (b) redressal of investor grievances, (c) internal control or risk management and (d) activities having a bearing on operational risk.

The NISM-Series-VII: Securities Operations and Risk Management Certification Examination, offered by NISM, will be available from November 22, 2010.

Details of NISM-Series-VII: Securities Operations and Risk Management Certification Examination are given in Annexure-I and Annexure-II attached to this communiqué/press release.

The text of these Annexures and the registration details are available at www.nism.ac.in.

 

-sd-

M. L. Soneji
Registrar
National Institute of Securities Markets

 

Copy to:

  1. Executive Director, MIRSD, SEBI
  2. Executive Director, MRD, SEBI
  3. Executive Director, LAD
  4. MD& CEO, BSE
  5. MD& CEO, NSE
  6. MD& CEO, MCX-SX

 

 

Enclosures: Annexure I and II

For Annexure I – Syllabus Outline  Click Here

For Annexure II – Test Objectives Click Here

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