NISM Series III-A: Securities Intermediaries Compliance (Non-Fund) (Official NISM Series III-A)
Official NISM Series III-A exam preparation module for NISM Series III-A: Securities Intermediaries Compliance (Non-Fund). Contains 14 structured practice tests with 1050+ real-feel questions, complete with explanations, syllabus coverage, and passing benchmarks.
- Certification Code: NISM Series III-A
- Governing Body: SEBI
- Exam Pattern: 100 Multiple Choice Questions, 120 Minutes duration
- Passing Score: 60% benchmark score to pass
- Negative Marking: 25% (0.25 marks deducted per wrong answer)
- Certificate Validity: 3 Years
- Total Practice Questions: 1050+ real-exam format questions
- Official Examination Fee: ₹1,500 + GST
Syllabus and Curriculum Modules
- Financial & Regulatory Structure in India
- Intermediary Specific Compliance Frameworks
- PMLA, Insider Trading & Market Conduct
NISM Series III-A: Securities Intermediaries Compliance (Non-Fund)
NISM Series III-A certification — Securities Compliance exam preparation
Avg. Salary
₹5.0 LPA
Qualification
Graduate
Test Questions
100 Qs
Duration
120 Mins
Passing Score
60%
Cert. Validity
3 Years
Official Regulatory Mandate
Mandatory for Compliance Officers of non-fund intermediaries including Stock Brokers, Sub-Brokers, Depository Participants, and Merchant Bankers.
About the Course & Exam
Official NISM Series III-A exam preparation module for NISM Series III-A: Securities Intermediaries Compliance (Non-Fund). Contains 14 structured practice tests with 1050+ real-feel questions, complete with explanations, syllabus coverage, and passing benchmarks.
What You Will Achieve
Professional Certification
SEBI Certified Compliance Officer (Non-Fund Intermediaries)
Legally required by SEBI for designation as Chief Compliance Officer at Stock Broking and Depository organizations.
Core Practical Competencies
- SEBI Intermediaries Regulations
- Insider Trading & Prevention of Fraudulent Practices (PFUTP)
- PMLA audit, Suspicious Transaction Reporting (STR) to FIU-IND
Choose Your Practice Package
Instant Online Access • Real Exam Simulator10 Days Access
- 10 Days Full Online Access
- 5 Chapter-Wise Practice Sets
- 1 Full Real-Feel Mock Exam
- Instant Scoring & Detailed Explanations
- Mobile & Desktop Friendly
30 Days Access
- 30 Days Full Online Access
- All Chapter Practice Sets (500+ Qs)
- All Full Real-Feel Mock Exams (Timed)
- Last-Day Revision Test Modules
- Chapter-Wise Accuracy & Performance Analytics
- Instant Scoring with Official Explanations
60 Days Access
- 60 Days Extended Full Online Access
- Complete Question Bank Access (1,000+ Qs)
- All Independent Real-Feel Mock Papers
- All Chapter Practice Sets & Revision Tests
- 3 Attempts per Test Paper Included
- Latest 2025 Syllabus Updates Included
- Priority Email & WhatsApp Support
Official NISM Examination Workbook & Study Notes
Published by NISM for candidates. Read the full syllabus textbook online or download free in PDF.
NISM Series III-A: Securities Intermediaries Compliance (Non-Fund) Workbook
Statutory manual for Compliance Officers at stock brokerages, depository participants, and merchant banks covering SEBI Act, SCRA, Insider Trading, and PMLA.
Looking for other Series Workbooks?
Access official PDFs for Currency, Derivatives, Advisory, Compliance, and Research Analyst exams.
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