Free online model papers and mock tests for NISM Series 3A: SIC NF (Securities Intermediaries Compliance Non-fund) model exam with sample questions and answers.
| NISM Series (III-A) Securities Intermediaries Compliance (Non-Fund) Examination Pattern | |
|---|---|
| Exam Fees | Rs. 1500 + |
| Test Duration | 2 Hours (120 Minutes) |
| Total Questions | 100 Questions |
| Maximum Marks | 100 marks |
| Passing Marks | 60% (60 Marks) |
| Negative Marking | – 25% of the marks assigned to the question |
Understanding the Financial and Regulatory Structure in India
| Units | Chapter Name |
|---|---|
| Unit 1 | Introduction to the Financial System |
| Unit 2 | Regulatory Framework – General View |
| Unit 3 | Introduction to Compliance |
| Unit 4 | SEBI Act, 1992 |
| Unit 5 |
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| Unit 6 | SEBI (Intermediaries) Regulations, 1992 |
| Unit 7 | SEBI (Prohibition of Insider Trading) Regulations, 1992 |
| Unit 8 | SEBI (Prohibition of Fraudulent and Unfair Trade Practices Relating to Securities Market) Regulations, 2003 |
| Unit 9 | Prevention of Money Laundering Act 2002 |
| Unit 10 | SEBI (KYC Registration Agency) Regulations, 2011 |
Understanding Intermediary Specific Regulations
| Units | Chapter Name |
|---|---|
| Unit 11 |
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| Unit 12 |
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| Unit 13 | SEBI (Issue of Capital Disclosure and Requirements) Regulations, 2009 |
| Unit 14 | SEBI (Depositories) Regulations, 1996 |
| Unit 15 | SEBI (Depositories and Participants) Regulations |
| Unit 16 | SEBI (Bankers to an Issue) Regulations, 1994 |
| Unit 17 | SEBI (Underwriters) Regulations, 1993 |
| Unit 18 | SEBI (Debenture Trustees) Regulations, 1993 |
| Unit 19 | SEBI (Credit Rating Agencies) Regulations, 1999 |
| Unit 20 | SEBI (Custodian of Securities) Regulations, 1996 |