NISM-Series-3A: Securities Intermediaries Compliance (Non-Fund) Mock Tests
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Examination Objectives The examination is broadly divided into two parts: Part A and Part B.
- Part A focuses on providing candidates with an understanding of the Financial and Regulatory Structure in India, along with the various Regulations that intermediaries should be aware of.
- Part B specifically addresses the rules and regulations governing particular intermediaries, including Stock Brokers, Depository Participants, Merchant Bankers, Underwriters, Bankers to the Issue, Debenture Trustees, and Credit Rating Agencies.
Upon successful completion of the examination, a candidate should be able to:
- Understand India's financial structure, including financial intermediaries and the types of products available in the Indian market.
- Understand the regulatory framework and the roles of various regulators within the financial system.
- Grasp the significance of compliance activities and the scope and role of the compliance officer in the Indian securities market.
- Understand the diverse regulations and rules governing the Indian securities market.
- Appreciate the importance of adhering to rules and regulations, and recognize the penal actions that may result from non-compliance or failure.
Assessment Structure The examination consists of 100 questions, with each question carrying 1 mark. Candidates are allotted 2 hours to complete the examination. A passing score of 60% is required. There is a negative marking of 25% of the marks assigned to a question.
Syllabus Outline with Weights
| Chapter No. | Chapter Name | Weightage (marks) |
|---|---|---|
| Part A: Understanding the Securities Market and Securities Markets Regulatory Structure in India | ||
| 1 | Introduction to the Financial System | 5 |
| 2 | Regulatory Framework - General View | 9 |
| 3 | Introduction to Compliance | 4 |
| 4 | Securities and Exchange Board of India Act, 1992 | 7 |
| 5 | Securities Contracts (Regulation) Act, 1956 and Securities Contracts (Regulation) Rule, 1957 | 4 |
| 6 | SEBI (Intermediaries) Regulations, 2008 | 6 |
| 7 | SEBI (Prohibition of Insider Trading) Regulations, 2015 | 6 |
| 8 | SEBI (Prohibition of Fraudulent and Unfair Trade Practices relating to securities Market) Regulations, 2003 | 6 |
| 9 | Prevention of Money Laundering Act, 2002 | 7 |
| 10 | SEBI (KYC Registration Agency) Regulations, 2011 | 2 |
| Part B: Understanding Intermediary Specific Regulations | ||
| 11 | SEBI (Foreign Portfolio Investors) Regulations, 2019 | 3 |
| 12 | SEBI (Stock Brokers) Regulations, 1992 | 6 |
| 13 | SEBI (Merchant Bankers) Regulations 1992, SEBI (SAST) Regulations, 2011 & SEBI (Bankers to an Issue) 1994 | 6 |
| 14 | SEBI (Issue of Capital and Disclosure Requirements) Regulations 2018 | 6 |
| 15 | Depositories Act 1996 | 2 |
| 16 | SEBI (Depositories and Participants) Regulations 2018 | 3 |
| 17 | SEBI (Registrar to an issue and Share Transfer Agents) Regulations, 1993 | 3 |
| 18 | SEBI (Research Analyst) Regulations, 2014 | 2 |
| 19 | SEBI (Investment Advisers) Regulations, 2013 | 2 |
| 20 | SEBI (Debenture Trustees) Regulations, 1993 | 3 |
| 21 | SEBI (Credit Rating Agencies) Regulations, 1999 | 3 |
| 22 | SEBI (Custodian) Regulations, 1996 | 3 |
| 23 | Proxy Advisors | 2 |
| Total marks | 100 |
Study Materials
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NISM-Series-3A: Securities Intermediaries Compliance (Non-Fund) Workbook
DownloadExam Instructions
- Each test contains multiple-choice questions.
- Total 100 questions per test.
- Navigate freely between questions.
- Submit test to view your results.
- Good luck!
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