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NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination
23 Chapters
Chapter 1
Chapter 1: Introduction to the Financial System
Chapter 2
Chapter 2: Regulatory Framework - General View
Chapter 3
Chapter 3: Introduction to Compliance
Chapter 4
Chapter 4: Securities and Exchange Board of India Act, 1992
Chapter 5
Chapter 5: Securities Contracts (Regulation) Act, 1956 and SCRR, 1957
Chapter 6
Chapter 6: SEBI (Intermediaries) Regulations, 2008
Chapter 7
Chapter 7: SEBI (Prohibition of Insider Trading) Regulations, 2015
Chapter 8
Chapter 8: SEBI (PFUTP) Regulations, 2003
Chapter 9
Chapter 9: Prevention of Money Laundering Act, 2002
Chapter 10
Chapter 10: SEBI (KYC Registration Agency) Regulations, 2011
Chapter 11
Chapter 11: SEBI (Foreign Portfolio Investors) Regulations, 2019
Chapter 12
Chapter 12: SEBI (Stock Brokers) Regulations, 1992
Chapter 13
Chapter 13: SEBI (Merchant Bankers), SAST & Bankers to an Issue
Chapter 14
Chapter 14: SEBI (ICDR) Regulations, 2018
Chapter 15
Chapter 15: Depositories Act, 1996
Chapter 16
Chapter 16: SEBI (Depositories and Participants) Regulations, 2018
Chapter 17
Chapter 17: SEBI (Registrars to an Issue & RTAs) Regulations, 1993
Chapter 18
Chapter 18: SEBI (Research Analysts) Regulations, 2014
Chapter 19
Chapter 19: SEBI (Investment Advisers) Regulations, 2013
Chapter 20
Chapter 20: SEBI (Debenture Trustees) Regulations, 1993
Chapter 21
Chapter 21: SEBI (Credit Rating Agencies) Regulations, 1999
Chapter 22
Chapter 22: SEBI (Custodian) Regulations, 1996
Chapter 23