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I recently scored 75% in the NISM Research Analyst exam after just three days of preparation, thanks to the mock tests from NISMExams.in. Many questions in the actual exam were directly from the mock tests. As a Professor of Accountancy and Research, I highly recommend these mock tests for their accuracy and effectiveness in helping you pass with confidence.
WhatsApp Image 2024-09-09 at 5.38.52 PM

Rahul Mhabde

Mumbai
NISM Securities Intermediaries Exam Pattern
NISM Securities Intermediaries Exam Syllabus Outline

The exam is divided into two parts, covering various regulatory and compliance aspects related to securities intermediaries.

Part 1: Understanding the Financial and Regulatory Structure in India

  1. Introduction to the Financial System: Overview of the financial system and its components.
  2. Regulatory Framework – General View: Understanding the general regulatory framework in India.
  3. Introduction to Compliance: Key compliance responsibilities for securities intermediaries.
  4. SEBI Act, 1992: Comprehensive understanding of the SEBI Act.
  5. Securities Contracts (Regulation) Act, 1956 & Rules 1957: Overview of regulations related to securities contracts.
  6. SEBI (Intermediaries) Regulations, 1992: Regulations governing intermediaries in the securities market.
  7. SEBI (Prohibition of Insider Trading) Regulations, 1992: Framework to prevent insider trading in the securities market.
  8. SEBI (Prohibition of Fraudulent and Unfair Trade Practices Relating to Securities Market) Regulations, 2003: Measures against fraud and unfair trade practices.
  9. Prevention of Money Laundering Act, 2002: Regulations to prevent money laundering activities.
  10. SEBI (KYC Registration Agency) Regulations, 2011: Guidelines for Know Your Customer (KYC) processes and regulations.

Part 2: Understanding Intermediary-Specific Regulations

  1. SEBI (Stock Brokers and Sub-brokers) Regulations, 1992 & Delisting Guidelines 2003: Regulations for stock brokers, sub-brokers, and guidelines for delisting.
  2. SEBI (Merchant Bankers) Regulations, 1992 & SEBI Takeover Code, BuyBack Regulations, 2006: Merchant banking and rules related to takeovers and buybacks.
  3. SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009: Regulations for the issue of capital and disclosure requirements.
  4. SEBI (Depositories) Regulations, 1996: Regulations governing depositories.
  5. SEBI (Depositories and Participants) Regulations: Rules for depositories and their participants.
  6. SEBI (Bankers to an Issue) Regulations, 1994: Rules governing bankers to an issue.
  7. SEBI (Underwriters) Regulations, 1993: Regulations for underwriters in the securities market.
  8. SEBI (Debenture Trustees) Regulations, 1993: Guidelines for debenture trustees.
  9. SEBI (Credit Rating Agencies) Regulations, 1999: Rules governing credit rating agencies.
  10. SEBI (Custodian of Securities) Regulations, 1996: Regulations for custodians of securities.
10 Free Mock Tests | Year: 2024
Our Testimonials
I recently scored 75% in the NISM Research Analyst exam after just three days of preparation, thanks to the mock tests from NISMExams.in. Many questions in the actual exam were directly from the mock tests. As a Professor of Accountancy and Research, I highly recommend these mock tests for their accuracy and effectiveness in helping you pass with confidence.
WhatsApp Image 2024-09-09 at 5.38.52 PM

Rahul Mhabde

Mumbai