01
Mock Test 1
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Series-III-A · March 2026
NISM Series III-A Compliance (Non-Fund) Mock Test
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Mock Test 2
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Mock Test 3
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Mock Test 4
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Study materials
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Chapter-led notes
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Securities Intermediaries Compliance (Non-Fund) Revision Notes
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- All 23 chapters covered
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Securities Intermediaries Compliance (Non-Fund) Cheat Sheet
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Premium exam access: one Complete Exam Pack includes 3 premium mock tests (Mocks 2, 3 and 4), full answer review, chapter notes and the two-page cheat sheet for this exam. Downloads are served only after active entitlement verification.
Syllabus coverage
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Syllabus areaOfficial weight
Regulatory Framework - General View
Official weight: 9.
Securities and Exchange Board of India Act, 1992
Official weight: 7.
Prevention of Money Laundering Act, 2002
Official weight: 7.
SEBI (Intermediaries) Regulations, 2008
Official weight: 6.
SEBI (Prohibition of Insider Trading) Regulations, 2015
Official weight: 6.
SEBI (Prohibition of Fraudulent and Unfair Trade Practices relating to securities Market) Regulations, 2003
Official weight: 6.
SEBI (Stock Brokers) Regulations, 2025
Official weight: 6.
SEBI (Merchant Bankers) Regulations 2025, SEBI (SAST) Regulations, 2011 & SEBI (Bankers to an Issue) 1994
Official weight: 6.
SEBI (Issue of Capital and Disclosure Requirements) Regulations 2018
Official weight: 6.
Introduction to the Financial System
Official weight: 5.
Introduction to Compliance
Official weight: 4.
Securities Contracts (Regulation) Act, 1956 and Securities Contracts (Regulation) Rule, 1957
Official weight: 4.
SEBI (Foreign Portfolio Investors) Regulations, 2019
Official weight: 3.
SEBI (Depositories and Participants) Regulations 2018
Official weight: 3.
SEBI (Registrar to an issue and Share Transfer Agents) Regulations, 1993
Official weight: 3.
SEBI (Debenture Trustees) Regulations, 1993
Official weight: 3.
SEBI (Credit Rating Agencies) Regulations, 1999
Official weight: 3.
SEBI (Custodian) Regulations, 1996
Official weight: 3.
SEBI (KYC Registration Agency) Regulations, 2011
Official weight: 2.
Depositories Act 1996
Official weight: 2.
SEBI (Research Analyst) Regulations, 2014
Official weight: 2.
SEBI (Investment Advisers) Regulations, 2013
Official weight: 2.
Proxy Advisors
Official weight: 2.
Exam preparation FAQs
NISM Series III-A Compliance (Non-Fund) questions, answered.
Check the free-test access, exam pattern and complete pack before you begin.
Is there a free NISM Series III-A Compliance (Non-Fund) mock test?
Yes. Mock Test 1 is a complete 100-question mock available after verified sign-in, with both practice and timed modes.
What is the NISM Series III-A Compliance (Non-Fund) exam pattern?
The configured pattern is 100 questions, 100 marks and 120 minutes, with 60% required to pass. A wrong answer deducts 25% of that question's marks.
What is included in the Securities Intermediaries Compliance (Non-Fund) exam pack?
The 30-day pack includes 3 premium mock tests, answer explanations, full performance analysis, chapter notes and a two-page cheat sheet for one learner account.