Mock Test NISM Series III A Securities Intermediaries Compliance
Introduction
NISM Series III-A Mock Test – Securities Intermediaries Compliance | NIFM
The NISM Series III-A: Securities Intermediaries Compliance Certification requires a minimum level of knowledge for individuals who perform compliance functions for stockbrokers, trading members and other intermediaries in the securities market.
This certification will provide you with a way to understand the regulatory structure and framework to support compliance, internal controls, and investor protection for the securities universe.
Important Note
This mock test is purely for practice and preparation. The official NISM Series XV certification is awarded only by NISM after passing the actual exam. This course helps you prepare, but does not guarantee the certificate.
Why Apply for This Mock Test?
Understand SEBI & Exchange Regulations
Covers essential SEBI circulars, exchange bye-laws, and compliance procedures.
Simulate Real Exam Conditions
Timed tests mirror the actual NISM exam pattern and difficulty level.
Develop Practical Compliance Insight
Enhances understanding of reporting, inspections, audits, and AML/KYC obligations.
Ideal for Compliance & Audit Roles
Perfect for professionals working in legal, audit, operations, and risk teams.
Flexible Online Learning
3 months of access with unlimited attempts — practice anytime, anywhere
What You’ll Learn?
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Regulatory framework governing intermediaries
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Roles and responsibilities of compliance officers
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SEBI and exchange registration requirements
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Internal controls and risk management mechanisms
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Investor grievance redressal & arbitration process
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AML / KYC norms and reporting obligations
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Inspection and audit procedures
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Documentation and regulatory filings
By completing this mock test, you’ll gain strong regulatory understanding and practical readiness to clear the NISM Series III-A exam.
FAQs – NISM Series III-A Mock Test
Q1. What is the NISM Series III-A Certification?
A: It’s a certification by NISM for professionals handling compliance and regulatory functions in securities intermediaries.
Q2. How will the NIFM Mock Test help me?
A: It offers 415 real exam-style questions, mock tests, and detailed explanations to strengthen your exam readiness.
Q3. How long is the access valid for?
A: You get 3 months of access with unlimited attempts to practice anytime.
Q4. Is this mock test based on the latest syllabus?
A: Yes , it follows the latest NISM Series III-A syllabus and exam pattern.
Q5. Is there negative marking in the real exam?
A: Yes, 25 % marks per wrong answer are deducted.
NISM Assessment Structure
Duration: 120 minutes
No. of Questions: 100
Total Marks: 100
Marks per Question: 1
Passing Score: 60 % (60 marks)
Negative Marking: Yes (25 % deduction per wrong answer)
Certificate Validity: 3 years
About Course
Course Requirements
Computer, Laptop, ipad, tab or mobile phone required with broadband or 4G internet.
Who is this Course for?
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Compliance Officers
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Risk Managers
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Legal Executives
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Audit Professionals
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Operations Managers
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Stockbrokers & Trading Members
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Depository Participants
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Back-Office Staff
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Finance Students & Graduates
Course Outline
Chapter 1 : Mock Test NISM Series III A Securities Intermediaries Compliance
Rs.199* Rs.399
50% OFFThis Course includes
1 Section
E-Books in pdf(Only in Courses)
Mock Test for Practice
Final Certification Test
Certification from NIFM
Contact for Corporate Training
Enterprise training for Team
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