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    Join 500+ candidates who cleared this exam

    Get the 630+ most important questions and answers to clear the NISM 3A Securities Intermediaries Compliance (Non-Fund) certification easily

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    NISM 3A
    Which body administers the Foreign Exchange Management Act (FEMA), 1999?

    How you’ll prepare

    01:24:36left
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    NISM 3A

    Which regulatory authority is responsible for the development and regulation of pension funds in India?

    • APFRDA
    • BIRDAI
    • CRBI

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    Mock 1Mock 4

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    Introduction to the Financial…48%
    Regulatory Framework -…62%
    Introduction to Compliance76%
    Securities and Exchange Board…84%

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    NISM 3A Formula Sheet

    Introduction to the…

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    Introduction to Compliance

    NISM 3A Revision Notes

    RBI

    The Reserve Bank of India is responsible for administering FEMA to facilitate external trade and manage the foreign…

    Regulatory Framework -…

    Introduction to Compliance

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    Mock tests6 tests
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    • NISM 3A mock test 2
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    • NISM 3A mock test 3
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    • NISM 3A mock test 4
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    • NISM 3A mock test 5
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    • NISM 3A mock test 6
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    Notes2 PDFs
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    • NISM 3A Formula Sheet
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    Mock Test Series
    NISM 3A
    Securities Intermediaries Compliance (Non-Fund)
    Exam-level difficulty
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    This course includes:

    6 full-length mock tests
    Study notes & formula sheets (2 PDFs)
    Doubt solving on WhatsApp
    Performance analytics to identify weak areas
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    Syllabus covered

    23 sections · 107 topics · mock tests & practice

    Introduction to the Financial System3 topics
    • Financial System
    • Financial Intermediaries
    • Financial Securities
    Regulatory Framework - General View6 topics
    • Regulatory System
    • Financial Market Regulators
    • Other Agencies in the Financial Market
    • Appellate Authority
    • Legislative Framework Governing the Financial Market
    • International Financial Services Centre (IFSC)
    Introduction to Compliance3 topics
    • Compliance – Introduction
    • Role and Reporting Structure of Compliance Officer
    • Compliance Requirements under the SEBI (CAPSM) Regulations, 2007
    Securities and Exchange Board of India Act, 19921 topic
    • Salient Features of SEBI Act, 1992
    Securities Contracts (Regulation) Act, 1956 and Securities Contracts (Regulation) Rules, 19572 topics
    • Securities Contracts (Regulation) Act, 1956
    • Securities Contracts (Regulation) Rules, 1957
    SEBI (Intermediaries) Regulations, 20085 topics
    • Introduction
    • General Obligations of Intermediaries
    • Inspection and Disciplinary Proceedings
    • Action in Case of Default and Manner of Suspension and Cancellation of Certificate
    • Code of Conduct
    SEBI (Prohibition of Insider Trading) Regulations, 20153 topics
    • Introduction to the Insider Trading Regulations
    • Code of Conduct
    • Role of Compliance Officer
    SEBI (Prohibition of Fraudulent and Unfair Trade Practices Relating to Securities Market) Regulations, 20033 topics
    • Introduction
    • Prohibition of Fraudulent and Unfair Trade Practices
    • Investigation
    Prevention of Money Laundering Act, 20023 topics
    • Introduction
    • Highlights of PMLA, 2002
    • Highlights of SEBI Circular on AML/CFT
    SEBI (KYC Registration Agency) Regulations, 20116 topics
    • Introduction
    • Registration as a KRA
    • Obligations on Surrendering Certificate of Registration
    • Functions and Obligations of KRA and Intermediary
    • Code of Conduct for KRA
    • Guidelines for Intermediaries, KRAs and In-person Verification
    SEBI (Foreign Portfolio Investors) Regulations, 20197 topics
    • Eligibility Criteria of Foreign Portfolio Investors
    • Categories of Foreign Portfolio Investor
    • Approval to act as a designated depository participant
    • Investment Conditions and Restrictions
    • Suspension, cancellation or surrender of certificate
    • Conditions for Issuance of Offshore Derivative Instruments
    • Code of Conduct for foreign portfolio investor
    SEBI (Stock Brokers) Regulations, 1992, SEBI (AIF) Regulations and SEBI PMS Regulations, 20208 topics
    • Introduction to SEBI (Stock Brokers) Regulations, 1992
    • Direct Market Access
    • Algorithmic Trading
    • Margin Trading
    • Authorised Persons
    • Permitting Underwriting activities by Stockbrokers
    • SEBI (Alternative Investment Funds) Regulations, 2012
    • SEBI (Portfolio Managers) Regulations, 2020
    SEBI (Merchant Bankers) Regulations 1992, SEBI (Delisting of Equity Shares) Regulations, 2009, SEBI (SAST) Regulations, 2011, SEBI (Bankers to an Issue) & SEBI (Underwriters) Regulations6 topics
    • Introduction
    • SEBI (Merchant Bankers) Regulations, 1992
    • SEBI (Delisting of Equity Shares) Regulations, 2009
    • SEBI (Substantial Acquisition of Shares & Takeovers) Regulations, 2011
    • SEBI (Bankers to an Issue) Regulations, 1994
    • SEBI (Underwriters) Regulations, 1993
    SEBI (Issue of Capital and Disclosure Requirements) Regulations, 20187 topics
    • Applicability of ICDR Regulations
    • Initial Public Offer (IPO) and Rights Issue
    • Role as Advisors
    • Due Diligence and Compliances
    • Role as an Underwriter
    • SEBI Circular on Rights Issue
    • General Obligations of Merchant Bankers with respect to Public and Rights Issue
    Depositories Act, 19964 topics
    • Introduction
    • Rights and Obligations of Depositories
    • Enquiry and Inspection
    • Miscellaneous Issues
    SEBI (Depositories and Participants) Regulations, 20184 topics
    • Registration of a Depository Participant
    • Rights and Obligations
    • Action in case of Default
    • Code of Conduct for Participants
    SEBI (Registrar to an Issue and Share Transfer Agents) Regulations, 19933 topics
    • Who is Registrar to an Issue and Share Transfer Agent?
    • General Obligations and Responsibilities
    • Code of Conduct for Registrars to an Issue and Share Transfer Agents
    SEBI (Research Analyst) Regulations, 20145 topics
    • Introduction
    • Management of Conflict of Interest and Disclosure requirements
    • General Responsibility
    • Maintenance of Records
    • Role of Compliance Officer
    SEBI (Investment Advisers) Regulations, 20139 topics
    • Introduction
    • General Responsibilities
    • Risk Profiling and Suitability of Clients
    • Disclosures by Investment Advisers
    • Client level segregation of advisory and distribution activities
    • Implementation of advice or execution
    • Maintenance of Records
    • Appointment of Compliance Officer
    • Code of Conduct for Investment Advisers
    SEBI (Debenture Trustees) Regulations, 19934 topics
    • Registration as Debenture Trustee
    • Capital Adequacy Requirements
    • Responsibilities and Obligations of Debenture Trustees
    • Code of Conduct for the Debenture Trustees
    SEBI (Credit Rating Agencies) Regulations, 19996 topics
    • Registration as a Credit Rating Agency
    • General Obligations of Credit Rating Agencies
    • Appointment of Compliance Officer
    • Steps on auditor's report
    • Confidentiality
    • Rating process
    SEBI (Custodian) Regulations, 19964 topics
    • Custodian and Custodial Services
    • Registration and Eligibility
    • General Obligations and Responsibilities of Custodians
    • Code of Conduct
    Proxy Advisors5 topics
    • Introduction
    • Impact of Proxy Advisors on Corporate Governance
    • Internal Controls and Disclosures under Research Analyst Regulations, 2014
    • Procedural guidelines prescribed for Proxy Advisors
    • Grievance redressal between listed entities and proxy advisers

    A few things before you start

    Choose the pack because it fits your preparation.

    How many mock tests do I get?

    You get 6 full-length mocks.

    Is this aligned with the official NISM Series III-A syllabus?

    Our content targets the NISM Series III-A: Securities Intermediaries Compliance (Non-Fund) exam. Always verify against the latest NISM workbook and examination notice.

    How long is my access valid?

    Purchased access is valid for 60 days from the date of purchase unless a different period is shown at checkout.

    What is the refund policy?

    We offer a 7-day money-back guarantee subject to the fair-use terms shown at checkout.

    What is the validity after purchase?

    You receive 2 months of full access.

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