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NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination

23 Chapters

Introduction to the Financial System

Regulatory Framework - General View

Introduction to Compliance

Securities and Exchange Board of India Act, 1992

Securities Contracts (Regulation) Act, 1956 and Securities Contracts

SEBI (Intermediaries) Regulations, 2008

SEBI (Prohibition of Insider Trading) Regulations, 2015

SEBI (Prohibition of Fraudulent and Unfair Trade Practices relating to

Prevention of Money Laundering Act, 2002

SEBI (KYC Registration Agency) Regulations, 2011

SEBI (Foreign Portfolio Investors) Regulations, 2019

SEBI (Stock Brokers) Regulations, 1992

SEBI (Merchant Bankers) Regulations 1992, SEBI (SAST) Regulations,

SEBI (Issue of Capital and Disclosure Requirements) Regulations 2018

Depositories Act 1996

SEBI (Depositories and Participants) Regulations 2018

SEBI (Registrar to an issue and Share Transfer Agents) Regulations,

SEBI (Research Analyst) Regulations, 2014

SEBI (Investment Advisers) Regulations, 2013

SEBI (Debenture Trustees) Regulations, 1993

SEBI (Credit Rating Agencies) Regulations, 1999

SEBI (Custodian) Regulations, 1996

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