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NISM Series-III-B: Issuers Compliance Practice Exam

NISM Series-III-B: Issuers Compliance Certification Examination

About NISM Series-III-B: Issuers Compliance Certification Examination

Revision of NISM Series-III-B: Issuers Compliance Certification Examination w.e.f May 24, 2018

The examination aims to enable a better understanding of various compliances which needs to be adhered to by associated persons working as compliance officers in listed companies.

Examination Objectives

On successful completion of the examination the candidate should:

  • Know the role and responsibilities of a Compliance officer of a listed company
  • Understand the various avenues for raising funds from the Indian and global market and the various compliance requirements for the same
  • Know the laws and regulations that need to be adhered to by a public company with respect to issues, corporate actions, and day to day compliance requirements.
  • Know the various penalties for non-compliance with regulations and requirements as specified in various Regulations

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-B: Issuers Compliance 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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