NISM SIC Non-Fund Mock Test | Model Exam Papers for NISM Series 3A Certification Mock Test

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.

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NISM Securities Intermediaries Compliance (Non-Fund) Exam Pattern

NISM Series (III-A) Securities Intermediaries Compliance (Non-Fund) Examination Pattern
Exam FeesRs. 1500 +
Test Duration2 Hours (120 Minutes)
Total Questions100 Questions
Maximum Marks100 marks
Passing Marks60% (60 Marks)
Negative Marking– 25% of the marks assigned to the question

NISM SIC (Non-Fund) Exam Syllabus - Part 1

Understanding the Financial and Regulatory Structure in India

UnitsChapter Name
Unit 1Introduction to the Financial System
Unit 2Regulatory Framework – General View
Unit 3Introduction to Compliance
Unit 4SEBI Act, 1992
Unit 5
  1. Securities Contracts (Regulation) Act, 1956
  2. Securities Contracts (Regulation) Rules, 1957
Unit 6SEBI (Intermediaries) Regulations, 1992
Unit 7SEBI (Prohibition of Insider Trading) Regulations, 1992
Unit 8SEBI (Prohibition of Fraudulent and Unfair Trade Practices Relating to Securities Market) Regulations, 2003
Unit 9Prevention of Money Laundering Act 2002
Unit 10SEBI (KYC Registration Agency) Regulations, 2011

NISM SIC (Non-Fund) Exam Syllabus - Part 2

Understanding Intermediary Specific Regulations

UnitsChapter Name
Unit 11
  1. SEBI (Stock Brokers and Sub-brokers) Regulations, 1992
  2. Listing Agreement and SEBI (Delisting of Securities) Guidelines, 2003
Unit 12
  1. SEBI (Merchant Bankers) Regulations, 1992
  2. SEBI Takeover Code and SEBI (BuyBack of Securities) Regulations, 2006
Unit 13SEBI (Issue of Capital Disclosure and Requirements) Regulations, 2009
Unit 14SEBI (Depositories) Regulations, 1996
Unit 15SEBI (Depositories and Participants) Regulations
Unit 16SEBI (Bankers to an Issue) Regulations, 1994
Unit 17SEBI (Underwriters) Regulations, 1993
Unit 18SEBI (Debenture Trustees) Regulations, 1993
Unit 19SEBI (Credit Rating Agencies) Regulations, 1999
Unit 20SEBI (Custodian of Securities) Regulations, 1996
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