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NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund)

NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund)

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NISM Series III A: Securities Intermediaries Compliance (Non-Fund)

The examination seeks to create a common minimum knowledge benchmark for all persons engaged in compliance function with any intermediary registered as Stock Brokers, Sub-brokers, Depository Participants, Merchant Bankers, Underwriters, Bankers to the Issue, Debenture Trustees and Credit Rating Agencies. 

Target Audience

The following persons can take NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination:
1. The associated persons functioning as compliance officers of intermediaries registered with the SEBI as stock brokers, or depository participants, or merchant bankers, or underwriters, or bankers to the issue, or debenture trustees or credit rating agencies
2. Interested students/professionals
3. Any other individuals

Prerequisite for the exam

There are no prerequisites required for NISM Series III A: Securities Intermediaries Compliance (Non-Fund) Exam. 

Examination Objectives:

On successful completion of the examination the candidate should:
Understand the structure of financial and securities markets in India; financial intermediaries and the types of products available in the Indian market.
Understand the regulatory framework and the role of the various regulators in the financial system.
Understand the Importance of Compliance function and the scope and role of the compliance officer in the Indian securities market.
Understand the various regulations and rules of the Indian securities market as related to the defined group of intermediaries.
Understand the importance of compliance of the rules and regulations and the penal actions initiated in case of any default or failure.

Exam Format and Information

Exam Name NISM Series III A: Securities Intermediaries

Compliance (Non-Fund)

Exam Code 0
Exam Duration 120 mins
Exam Format Multiple Choice
Exam Type 0
Number of Questions 100 Questions
Validity 3 Years
Exam Fee Rs 1500
Exam Language English
Pass Score 60% and above

NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) FAQs

The examination seeks to create a common minimum knowledge benchmark for all persons engaged in compliance function with any intermediary registered as Stock Brokers, Sub-brokers, Depository Participants, Merchant Bankers, Underwriters, Bankers to the Issue, Debenture Trustees and Credit Rating Agencies.
The following persons can take NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination: 1. The associated persons functioning as compliance officers of intermediaries registered with the SEBI as stock brokers, or depository participants, or merchant bankers, or underwriters, or bankers to the issue, or debenture trustees or credit rating agencies 2. Interested students/professionals 3. Any other individuals
There are no prerequisites required for NISM Series III A: Securities Intermediaries Compliance (Non-Fund) Exam.
There will be 100 questions which have to be completed in 120 minutes.
The candidate has to secure 60% in order to pass the exam.
The fees for NISM Series III A: Securities Intermediaries Compliance (Non-Fund) Exam is Rupees One Thousand Five Hundred only (Rs. 1500/-).
The examination consists of 100 questions of 1 mark each and should be completed in 2 hours. The passing score for the examination is 60%. There shall be negative marking of 25% of the marks assigned to a question.
On successful completion of the examination the candidate should: • Understand the structure of financial and securities markets in India; financial intermediaries and the types of products available in the Indian market. • Understand the regulatory framework and the role of the various regulators in the financial system. • Understand the Importance of Compliance function and the scope and role of the compliance officer in the Indian securities market. • Understand the various regulations and rules of the Indian securities market as related to the defined group of intermediaries. • Understand the importance of compliance of the rules and regulations and the penal actions initiated in case of any default or failure.
There will only be multiple-choice and multi-response questions covered in the exam.
There will be 100 questions in the exam.
The certificate will be valid for 3 years from the date of the examination.
To renew your current certificate, you need to appear for NISM CPE for Securities Intermediaries Compliance (Non-Fund) or successfully pass the NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) before the expiry of such certificate.
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Yes testprep training offers free practice tests for the NISM Series III A: Securities Intermediaries Compliance (Non-Fund) Exam which can be used before the final purchase for complete test.
After the completion of your exam, the points you earned on each question are totaled and then compared with the cut score to determine whether the result is pass or fail.
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