Securities Intermediaries Compliance - Non-Fund - NISM Series-III-A

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NISM Series-III-A     Securities Intermediaries Compliance - Non-Fund - NISM Series-III-A


The NISM Series-III-A exam aims to establish a common minimum knowledge benchmark for all persons working in a compliance role with any intermediary registered as Stock Brokers, Sub-brokers, Depository Participants, Merchant Bankers, Underwriters, Bankers to the Issue, Debenture Trustees, and Credit Rating Agencies are some of the groups.

What are the Exam Objectives? After passing the Securities Intermediaries Compliance test, the candidate should: * Financial and securities markets in India: learn about the structure of these markets, as well as financial intermediaries and the types of products that are available on the Indian market. * Understand the rules that govern the financial system and the roles of the different regulators. * Understand the importance of the compliance function in the Indian securities market, as well as the scope and responsibilities of the compliance officer. * Understand the various Indian securities market regulations and rules as they pertain to the defined group of intermediaries. * Understand the necessity of following the laws and regulations, as well as the penalties that will be imposed if you do not.

Exam Pattern for NISM Series-III-A Securities Intermediaries Compliance - Non-Fund - Exam

What are the Eligibility Criteria for NISM Series-III-A?

Any person who is actively involved in the management of a SEBI-registered Broker / Depository Participant / Merchant Banker / Underwriter / Banker to the Issue / Debenture Trustee / Credit Rating Agency, including supervision, solicitation, and conduct of business, and who is a Proprietor / Sole Proprietor / Partner / Managing Partner / Chairman / Director / Executive Director / Full-Time Director / Chief Executive Officers.

Registration procedures

  In order to register and sign up for the NISM certification exam and CPE "program, you need to fill out the Online Registration Form on the NISM Online Certification System. * In order to activate your NISM account, you must click on the link in the email that was sent to the registered e-mail address. * login to the NISM Certification Portal with your email address and password. * Then select New Enrollment for NISM Certification Examination to register for the exam. * Choose a date and test center, then choose a slot and pay online. Net Banking, Credit/Debit Card Syllabus for NISM-III-A: Securities Intermediaries Compliance (Non-Fund)

The next stage is to comprehend the course Syllabus. It helps you learn the exam's format and goals. These objectives are usually weighted, indicating their relative importance on the tests. Higher weighted objectives encompass more exam questions. NISM-III-A Outline has 2 units and sub-units. Each of the 20 units has a weighting value. So, carefully read the course outline and build your study schedule around these objectives to attain certification. The following is the outline of the NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification course: Part A: Indian Financial and Regulatory Structure (60 marks) Part B: Intermediary Regulations (40 marks) How to study for the Exam?

Preparing for any exam takes dedication, hard effort, and the necessary materials to ace it. There are various online resources, but we must identify those that are valuable to us. NISM III- It is a step towards a successful career. To pass this exam, you must be motivated to study. Our Preparatory Guide will help you prepare for the exam.

Step:1 Exam Objectives Review - Reviewing the exam objectives ensures nothing is missed. As previously said, reviewing the course outline is critical while preparing for any exam. Knowing the exam objectives also aids in faster and more accurate comprehension of subjects. The NISM Series-III-A test has two parts:

* Part A: An Introduction to India's Financial and Regulatory Structure

* Part B: Understanding Specific Intermediary Regulations

Step 2: Reference Books Books are the most valuable study resources since they present you with unique insights that study guides may not, giving you an edge over the competition. You may select any book that fits your preparation style. Ascertain that the content is understandable and that the book contains a sufficient number of practice questions and previous test papers. You can choose from a variety of books and either purchases them or borrow them from libraries; nevertheless, you should always seek out books authored by reliable and authentic domain experts.

Step 3: Take several Practice tests After the preparation phase, the performance phase begins. This phase helps you identify your main strengths and weaknesses. They also teach confidence and time management. Moreover, Practice tests are meant to let applicants experience the real exam scenario. Preparation for the NISM Series-III-A - Take a Practice test right now!         

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