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NISM RTA Corporate Exam Pattern
- Exam Fees
- Test Duration
- Total Questions
- Maximum Marks
- Passing Marks
- Negative Marking
NISM RTA Corporate Exam Syllabus Outline
NISM Mutual
- Rs. 1500 +
- 2 Hours
- 100 Questions
- 100 marks
- 50% (50 Marks)
- No negative marks for incorrect answers
- Unit 1
- Unit 2
- Unit 3
- Unit 4
- Unit 5
- Unit 6
- Unit 7
- Unit 8
- Unit 9
- Unit 10
- Unit 11
- Unit 12
- Unit 13
- Introduction to Securities
- Characteristics of Equities
- Characteristics of Other Securities
- Characteristics of Debt Instruments
- Basics of Mutual Funds
- SEBI’s Role and Relevant Regulations
- Public Offer of Securities -Features
- Private Placement of Shares
- Public Offer of Securities -Processes
- Depository Services
- Process related to Depositories
- Investor Servicing Processes
- Role of stock exchanges and other participants in the secondary market
NISM Series III-A: Securities Intermediaries Compliance (Non-Fund) Cert.
Master the NISM Series III-A: Securities Intermediaries Compliance Certification Exam effortlessly with our comprehensive package! Gain access to 600 vital questions, including case studies, designed for clarity and deep understanding. Enjoy 15-days validity, 10 attempts per test, and instant online access post-payment. Subscription cost: Rs. 499 (+GST).
Explore the Exam and Question Bank particulars
NISM Series III-A: Securities Intermediaries Compliance Mock Test and NISM III-A Question Bank details
The examination aims to establish a standardized minimum knowledge level for individuals involved in compliance functions within SEBI-registered intermediaries, including Stock Brokers, Depository Participants, Merchant Bankers, Underwriters, Bankers to the Issue, Debenture Trustees, and Credit Rating Agencies. This certification strives to improve the quality of services provided by compliance professionals and ensures their awareness of the diverse regulations governing the Securities Market.
Examination Objectives
This examination comprises two main parts. Part ‘A’ provides a comprehensive overview, offering candidates insights into the Financial and Regulatory Structure in India, diverse regulations pertinent to intermediaries, while Part ‘B’ focuses specifically on the rules governing Stock Brokers, Depository Participants, Merchant Bankers, Underwriters, Bankers to the Issue, Debenture Trustees, and Credit Rating Agencies. Upon successful completion of the examination, candidates should:
- Grasp the financial structure in India, including knowledge of financial intermediaries and the array of products available in the Indian market.
- Comprehend the regulatory framework and the roles of various regulators within the financial system.
- Recognize the significance of compliance activities, understanding the scope and responsibilities of compliance officers in the Indian securities market.
- Demonstrate understanding of the various regulations and rules governing the Indian securities market.
- Appreciate the importance of compliance with rules and regulations, along with an awareness of penal actions initiated in case of any default or failure.
Assessment Structure
The exam comprises 100 questions, each carrying 1 mark, to be completed within a 2-hour timeframe. A passing score is set at 60%, and there is a negative marking of 25% of the marks assigned to each question.
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