NISM Series-III-A: Securities Intr Compliance

• Number of Questions : Get 450 questions as per 2023 NISM exam. Study them and clear the exam

• Format :  Practice exams with Q&As and easy explanations / math solutions

• Delivery : Immediate - Online - Login to see the Q&As

• Price and Validity : Rs. 299 (7 days), Rs. 399 (30 days), Rs. 699 (60 days) - Q & A's are same in all the plans

• Guarantee / Refund : Yes - with the Rs. 699 plan

 

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Q1) What is the fee structure?

The fees for “NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination” is Rupees One Thousand Five Hundred only (Rs. 1500/-).5. What is the assessment structure? The examination will be of 100 marks, will have 100 questions of 1 mark each, and should be completed in 2 hours. There will be a negative marking of 25% of the marks assigned to a question. The passing score for the examination is 60%.

 

Q2) Who can take NISM III - A : Securities Intermediaries Compliance ( Non- fund ) Certification Exmaination?

The following persons can take NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination: 

-The associated persons functioning as compliance officers of intermediaries registered with the SEBI as stockbrokers, or depository participants, or merchant bankers, or underwriters, or bankers to the issue, or debenture trustees or credit rating agencies Interested students/professionals.

 -Any other individuals

 

Q3) Is there a study material available for preparing for this examination?

There are many websites which offer question banks (some offer even for free) , but what is important is the regular updating of the Q&As as per current exam pattern. NISMTOP500 offers mock tests for NISM II B exams which contain the latest 2023 questions. Once you use our online NISM question bank for III A, you will realize that just by reading our Q&As, you can pass the exam easily. No wonder we can give you a 100% guarantee of passing the exam or refund.

 

Q4) How can I register for NISM Series III A : Securities Intermediaries Compliance ( Non- Fund ) Certification Exam?

Candidates can register with - National Institute of Securities Markets (NISM) https://certifications.nism.ac.in/nismaol/

 

 

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.