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NISM Series-III-B: Issuers Compliance Exam

NISM Series-III-B: Issuers Compliance Exam

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NISM Series-III-B: Issuers Compliance


NISM Series-III-B: Issuers Compliance exam aims to enable a better understanding of various compliance which needs to be adhered to by associated persons working as compliance officers in listed companies.

NISM Series-III-B: Issuers Compliance Exam Objectives


The candidate must meet the following objectives after successful completion of the exam are - 
  • To know the role and responsibilities of a Compliance officer of a listed company
  • To understand the various avenues for raising funds from the Indian and global market and the various compliance requirements for the same
  • To 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.
  • To know the various penalties for non-compliance with regulations and requirements as specified in various Regulations

Course Structure

NISM Series-III-B: Issuers Compliance Exam covers the following topics - 

  • Introduction to Indian Capital Market
  • Understand the Capital Market Regulations
  • Discuss the role of Compliance Officer
  • Understand how to Raise Capital from the market
  • Understand the Role of Compliance Officer in IPO
  • Understand the Role of Compliance Officer in other public Issues
  • Know about the ways to Raise money from foreign market
  • Know about the Ongoing Compliance Requirements

Get ready to qualify for NISM Series-III-B: Issuers Compliance Exam with hundreds of real-time exam questions and expert guidance. Try Free Practice Test Now!

Exam Format and Information

Exam Name Issuers Compliance 
Exam Code NISM Series-III-B
Exam Duration 120 minutes
Exam Format Multiple Choice and Multi-Response Questions
Passing Score 60%Number of Questions 100 Questions
Eligibility/Pre-Requisite NIL
Exam Fee Rs. 1770+
Exam Language English
Validity 3 years

NISM Series-III-B: Issuers Compliance Exam FAQs

NISM Series-III-B: Issuers Compliance exam will help you provide a good understanding of different compliance which is required to get attached to the person associated with working as a compliance officer in a company.
If candidate wants to reschedule the exam then they should have to do it at least 15 days prior to the exam appointment date. Candidates can only reschedule examination after the enrolment.
You will get 120 minutes to complete 100 questions for this exam.
NISM certification does not allow for the re-evaluation unless a valid request is received by the candidate which is forwarded to NISM by TA.
You need to pass at least 10+2 to apply for entry level SEBI certification courses.
You have to score 60% to pass the NISM Series-III-B: Issuers Compliance exam.
This exam will cost you Rs. 1770 with included additional taxes.
NISM is launched by SEBI is opted by those investors who have an interest in gaining knowledge in finance market. With SEBI it provides quality to financial market, whereas NCFM provide knowledge to professionals working in the financial industry by providing training certification for various industry fields to provide an advantage in getting a job.
1. NISM certification is best for those who want to start their career in finance and also provide detailed information about the stock market. 2. NISM certification will help you enhance your knowledge in the stock market and help you get a good start in your career. 3. This certification will increase you value and help you get a respectable position. NISM certification comes with many benefits and skills in which you can excel.
The topics covered in this exam are - Introduction to Indian Capital Market, Understand the Capital Market Regulations, Discuss the role of Compliance Officer, Understand how to Raise Capital from the market, Understand the Role of Compliance Officer in IPO, Understand the Role of Compliance Officer in other public Issues, Know about the ways to raise money from foreign market, and Know about the Ongoing Compliance Requirements
NISM Series-III-B: Issuers Compliance exam help to have a good understanding of compliance which are performed by the person working as a compliance officer in a listed company. It is also required to know about the role of compliance officer and t understand various avenues for raising funds from the Indian and global market. During preparation, 1. First search for the exam pattern and make blueprint according to the weightage of topics. 2. Find some courses online to get good study material and practice sets questions related to the exam. 3. Try to focus on your weakest part so that you don't face any difficulty during the exam.
This exam is valid for 3 years.
1. You should know about the role and responsibilities of the Compliance officer of a well-known company. 2. You should be able to understand the different avenues for raising funds from the Indian and global market and the compliance requirements. 3. There is a need to know about the laws and regulations that are required to be adhered to by a public company with respect to issues, corporate actions, and day to day compliance requirements. 4. You should know about the various penalties for non-compliance with regulations and requirements as specified in various Regulations.
TestprepTraining provides unique sets of questions that will help you check your skills and knowledge in stock market. These practice questions will help you increase your knowledge for better preparation of exam.
Yes testprep training offers free practice tests for NISM Series-III-B: Issuers Compliance certification which can be used before the final purchase for complete test.
Yes our experts frequently blog about the tips and tricks for exam preparation.
Yes we offer nearly 50% discount for the order more than 10 products at a time. You can reach the testprep training Helpdesk for more details. The member of support staff will respond as soon as possible.
Yes, Testprep Training offers email support for any certification related query while you are preparing for the exam using our practice exams. Your query will be handled by experts in due course.
Yes, we offer a 100% unconditional money back guarantee. In case you are not able to clear the exam for then you can request for the full refund. Please note that we only refund the cost of product purchased from Testprep Training and not the NISM Series-III-B: Issuers Compliance certificationcost.
Yes we offer nearly 50% discount for the order more than 10 products at a time. You can reach the testprep training Helpdesk for more details. The member of support staff will respond as soon as possible.
Once purchased, the practice exams can be access for the lifetime.

 

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