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

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

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

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.

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 Structure

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.

Exam Details

Name of Module: NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination


  • Negative marking - 25% of the marks assigned to the question
  • Payment gateway charges extra.
  • Passing Certificate will be issued only to those candidates who have furnished/ updated their Income Tax Permanent Account Number (PAN) in their registration details.

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