n NISM Certifications
NSM General NISM
Medium

Which are operational risks for a stock broker?

Practice question from NISM Series I - Mock Test 3 — bank. The correct answer is highlighted below with a full explanation.

Options

  1. A

    Denial of matched order by clients

  2. B

    Non-delivery of securities

  3. C

    Trading errors

  4. All of the above

    Correct answer

Why this is the answer

Operational risks include failures in process, errors, client actions, regulatory non-compliance, etc.

Test yourself for real

Take a full General NISM mock test.

Same duration, same weighting, same difficulty distribution as the real exam — with explanations on every question.