What's inside the NISM Series III-A: Securities Intermediaries Compliance (Non-Fund) book
Built for working bankers: the whole syllabus in short, exam-focused chapters, with practice questions to test yourself.
- Conceptual, chapter-wise and topic-wise study material for the full NISM syllabus.
- Practice questions (360 MCQs) with the book, chapter by chapter.
- 30 Case Studies (120 questions)
- 5 Mega Tests (500 questions)
- Minimal pages, complete coverage: built to cover a lengthy syllabus in a matter of days.
Module A — Financial System and Securities Laws5 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 Rules, 1957
Module B — Cross-Intermediary Regulations5 chapters
- SEBI (Intermediaries) Regulations, 2008
- SEBI (Prohibition of Insider Trading) Regulations, 2015
- SEBI (Prohibition of Fraudulent and Unfair Trade Practices) Regulations, 2003
- Prevention of Money Laundering Act, 2002 and SEBI AML/CFT Guidelines
- SEBI (KYC Registration Agency) Regulations, 2011
Module C — Brokers, FPIs, Merchant Bankers and Issues7 chapters
- SEBI (Foreign Portfolio Investors) Regulations, 2019
- SEBI (Stock Brokers) Regulations (Part 1)
- SEBI (Stock Brokers) Regulations (Part 2) – Trading Facilities, Authorised Persons and Portfolio Managers
- SEBI (Merchant Bankers) Regulations, 1992 (Part 1)
- Merchant Bankers (Part 2) – Takeovers, Delisting, Buyback and Bankers to an Issue
- SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018 (Part 1)
- SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018 (Part 2)
Module D — Depositories, Advisers and Other Intermediaries7 chapters
- Depositories Act, 1996 and SEBI (Depositories and Participants) Regulations, 2018
- SEBI (Registrars to an Issue and Share Transfer Agents) Regulations
- SEBI (Research Analysts) Regulations, 2014
- SEBI (Investment Advisers) Regulations, 2013
- SEBI (Debenture Trustees) Regulations, 1993
- SEBI (Credit Rating Agencies) Regulations, 1999
- SEBI (Custodian) Regulations, 1996 and Proxy Advisors
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Which edition is this?
The 2026 edition by Ashish Sir, written for the current NISM NISM Series III-A: Securities Intermediaries Compliance (Non-Fund) syllabus.