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NISM Certification Exams mapping with Job Roles

NISM Certification Exams mapping with Job Roles

Puzzled with the complex structure of NISM Exams? Or confused by SEBI Circulars? PrepCafe makes it simple to understand which exam you should be undertaking:

Disclaimer: The following information is based on interpretation drawn from the respective Circulars issued by SEBI from time to time. For detailed interpretation, candidates are requested to seek appropriate legal advice or clarification from SEBI.

Sr. No. NISM Certification Exam Who should take this exam (as per SEBI Circular) Who should take this exam? (as per PrepCafe)
1 Currency Derivatives Approved Users and Sales Personnel of trading members working in the CD segment Any person who is involved in any activity related to Currency Derivatives such as trading, front-office sales, back-office operations, etc. or person handling such products in stock exchanges are required to pass this exam
2 RTA – Corporate / RTA - Mutual Funds Associated Persons employed by Registrar and Transfer Agents Any person working with a Registrar and Share Transfer Agent such as Karvy, CAMS, etc. is required to pass this exam
3 Compliance Securities (Non-Fund) Engaged in Compliance Function Compliance officers and their staff handling securities markets related work
4 Interest Rate Derivatives Approved Users and Sales Personnel working in the IRD segment Any person who is involved in any activity related to Interest Rate Derivatives such as trading, front-office sales, back-office operations, etc. or person handling such products in stock exchanges are required to pass this exam
5 Mutual Funds Distributors Distributors, Agents, Brokers, sub-brokers engaged in sale and distribution of mutual funds Any person who deals with Mutual Funds is required to give this exam. This exam entitles the person to sell all kinds of Mutual Funds
6 Mutual Fund Foundation New Cadre of Distributors The exam entitles the person to sell only simplified mutual fund products and not all of them. Exam was mandated by SEBI to add more MF distributors in the industry
7 Mutual Fund Distributors (Level 2) NOT MANDATED BY SEBI If you would like to gain an in-depth knowledge of Mutual Funds, you can take the exam
8 Depository Operations Persons employed by a Depository Participant Everyone working in a DP firm is required to undertake this exam
9 Securities Operations and Risk Management Associated Persons of stock broker/trading member/clearing member Everyone working in a brokerage firm at the trading desk or clearing desk or other back office work
10 Equity Derivatives Approved Users and Sales Personnel working in the ED segment This exam is required in order to get the Equity Derivative Terminal from exchange or broker
11 Equity Sales Not yet mandated by SEBI Everyone dealing with Equity Cash segment including people working in brokerage firms, back office, stock exchange, etc. 
12 Securities Markets Foundation NOT MANDATED BY SEBI Beginner Level exam for college students or people from other industries
13 Merchant  Banking SEBI Registered Merchant Bankers All Investment Bankers
14 Investment Advisor (Level 1 and 2) Investment Advisors All persons who advise their clients on which/how much/when stock/fund to buy/sell or purchase/redeem etc. Clearing both Level 1 and 2 exams would qualify the Investment Advisor exam
15 Research Analyst Research Personnel All people involved in fundamental research and/or technical analysis or providing stock or other recommendations
 

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