The examination seeks to create a common minimum knowledge benchmark for persons working in the Currency Derivatives market segment, in order to enable a better understanding of currency markets and exchange traded currency future products, better quality investor service, operational process efficiency and risk controls.

Version: March 2018 (Latest version)

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This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Interest Rate Derivatives Certification Examination. NISM-Series-IV: Interest Rate Derivatives Certification Examination seeks to create a common minimum knowledge benchmark for the approved users and sales personnel of the ‘Trading Members’ who are registered as such in the Currency Derivatives Segment of a recognized stock exchange and trading in Interest Rate Derivatives.

The book covers basics of the interest rate derivatives, trading strategies using interest rate derivatives, clearing, settlement and risk management as well as the regulatory environment in which the interest rate derivatives markets operate in India.

Edition: March 2018

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This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Level 2 Certification Examination for Investment Advisers. NISM Series XB : Investment Adviser (Level 2) Certification Examination along with the NISM Series XA : Investment Adviser (Level 1) Certification Examination seeks to create a common minimum knowledge benchmark for all associated persons registered as an investment adviser and partners and representatives of investment advisers under SEBI (Investment Advisers) Regulations, 2013 and offering investment advisory services.

The book covers all important topics to enhance the quality of investment advisory and related services in the financial services industry. It covers topics related to the structure and performance of securities markets, importance of asset allocation and impact of the market movement on the assets performance. This course teaches practical aspect of product selection, portfolio construction, review and rebalancing based on clients need. The book also discusses the concept of compliance, operations and service elements in investment advice.

Edition : March 2017

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This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Certification Examination for Registrars to an Issue and Share Transfer Agents‐Mutual Fund. NISM‐Series‐II‐B: Registrars to an Issue and Share Transfer Agents‐Mutual Fund Certification Examination seeks to create a common minimum knowledge benchmark for associated persons working in Registrars to an Issue and Share Transfer Agents (R&T agent) organizations performing any of the following functions for listed companies: (a) dealing or interacting with the investors or issuers; (b) dealing, collecting or processing applications from the applicants; (c) dealing with matters relating to corporate actions, refunds or redemptions, repurchase of securities, etc; (d) handling redressal of investors’ grievances; (e) responsible for internal control and risk management; (f) responsible for any compliance of securities laws; (g) responsible for any other activity performed under the Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) Regulations, 1993.

The book covers basics of securities and securities markets role and functions of the R&T Agents in the corporate securities issuance and transaction process and the regulatory environment in which the R&T Agents operate in India.

Edition : July 2018 (Latest version)

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This workbook has been developed jointly by the Certification Team of National Institute of Securities Markets and Ms. Uma Shashikant, Ms. Sunita Abraham and Mr. Ashwani Gupta. NISM gratefully acknowledges the contribution of Registrars and Transfer Agent Association of India (RAIN) and the Examination Committee for Registrar and Transfer Agent Examinations consisting of nominated representatives from the RAIN.

The examination seeks to create a common minimum knowledge benchmark for persons working in Registrars to an Issue and Share Transfer Agents (R&T agent) organizations in the mutual fund R&T function, in order to enable better quality investor service, operational process efficiency and risk controls.

Edition: January 2019

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Version: December 2018

This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Issuers Compliance Certification Examination. NISM Series IIIB : Issuers Compliance Certification Examination seeks to create a common minimum knowledge benchmark for Compliance Officers of listed companies and also companies which are proposed to be listed on the stock exchanges.

The book covers the role and responsibilities of a Compliance officer of a listed company; discusses the various avenues for raising funds from the Indian and global market and the various compliance requirements for the same and discusses laws and regulations that need to be adhered to by a public company with respect to issues, corporate actions, and day to day compliance requirements and the penalties for non‐compliance.

Edition : April 2018

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This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Certification Examination for Merchant Banking. NISM Series IX :
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• The investors, issuers or clients of intermediaries
• Assets or funds of investors or clients
• Redressal of investor grievances
• Internal control or risk management
• Activities having a bearing on operational risk
• Maintain books and records pertaining to above activities

The book covers various aspects of capital market functions, the importance of the different rules and regulations governing the Indian securities market and the processes involved in various functions of registered Merchant Bankers and the regulatory environment in which it operates.

Edition : February 2019

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This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Certification Examination for Mutual Fund Distributors. NISM Series VA : Mutual Fund Distributors Certification Examination seeks to create a common minimum knowledge benchmark for all persons involved in selling and distributing mutual funds including individual Mutual Fund Distributors, employees of organizations engaged in sales and distribution of Mutual Funds, employees of Asset Management Companies specially persons engaged in sales and distribution of Mutual Funds.

The book covers all important topics to enhance the quality of sales, distribution and related support services in the mutual fund industry. It covers topics related to the basics of mutual funds, their role and structure, different kinds of mutual fund schemes and their features, accounting, valuation and taxation aspects underlying mutual funds and their distribution. This course teaches financial planning as an approach to investing in mutual funds, and an aid for advisors to develop long term relationships with their clients. The book also discusses the concept of scheme evaluation, recommendation of suitable products and services to investors and prospective investors.

Edition : June 2018

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This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Certification Examination for Mutual Fund Foundation.

Edition : December 2017

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This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Mutual Fund Distributors (Level 2) Certification Examination. NISM-Series-V-C: Mutual Fund Distributors (Level 2) Certification Examination seeks to create common minimum knowledge benchmark for associated persons, i.e., distributors, agents or any persons employed or engaged or to be employed or engaged in the sale and/or distribution of mutual fund products and advisory functions, in order to enable a better understanding of features of advanced mutual fund products, fund valuation, fund performance measurements, investor service and related regulations.

The book covers advanced concepts of mutual funds such as Fund of Funds, Exchange Traded Funds, Real Estate Mutual Funds, Venture Capital Funds, Private Equity Funds and International Funds, new channels of distribution for mutual funds, fund valuation, fund performance measures, etc.

Edition: March 2017

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This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Certification Examination for Depository Operations. NISM Series VI: Depository Operations Certification Examination seeks to create a common minimum knowledge benchmark for associated persons engaged or employed by a registered depository participant in (a) dealing or interacting with clients; (b) dealing with securities of clients; (c) handling redressal of investor grievances; (d) internal control or risk management; (e) activities having a bearing on operational risk; (f) maintenance of books and records pertaining to the above activities. The book covers the various functions of depositories and their depository participants, the regulatory framework under which the depository system functions in India.

Edition: June 2018

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This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Certification Examination for Securities Operations and Risk Management. NISM Series VII: Securities Operations and Risk Management Certification Examination seeks to create a common minimum knowledge benchmark as the requisite standard for associated persons of a registered stock‐broker /trading member /clearing member in recognized stock exchanges, involved in (a) assets or funds of investor or clients (b) redressal of investor grievances (c) internal control or risk management and (d) activities having a bearing on operational risk.

The book covers basics of the Indian securities market, the different products traded and the various market participants and the respective roles they play in the Indian securities market. It also deals with the trade life cycle (TLC), the steps and participants involved in the TLC, the functions of the Front Office, Middle Office and Back Office in a Securities Broking Firm, the Risk management practices, clearing and settlement of trades.

Edition: September 2018

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This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Level 1 Certification Examination for Investment Advisers. NISM Series XA : Investment Adviser (Level 1) Certification Examination along with the NISM Series XB : Investment Adviser (Level 2) Certification Examination seeks to create a common minimum knowledge benchmark for all associated persons registered as an investment adviser and partners and representatives of investment advisers under SEBI (Investment Advisers) Regulations, 2013 and offering investment advisory services.

The book covers all important topics to enhance the quality of investment advisory and related services in the financial services industry. It covers topics related to the basics of investment advisory, steps in the advisory process, making and implementation of a financial plan and evaluation of different products. This course teaches financial planning as an approach to investing, insurance, retirement planning and an aid for advisers to develop long term relationships with their clients. The book also discusses the concept of Income tax, and legalities of Estate planning in personal finance, and regulatory aspects underlying advisory.

Edition : February 2018

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This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Equity Sales Certification Examination. NISM-Series-XI: Equity Sales Certification Examination seeks to create common minimum knowledge benchmark for all persons involved in the sale of equity products in order to enable a better understanding of equity markets, better quality investor service, operational process efficiency and risk controls.

The book covers basics of the Indian equity markets, risk, return and taxation aspects of equity, clearing, settlement and risk management as well as the regulatory environment in which the equity markets operate in India.

Edition : March 2018

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This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Certification Examination for Securities Markets Foundation. NISM‐Series‐XII: Securities Markets Foundation Certification Examination is for entry level professionals, who wish to make a career in the securities markets. The book covers all important topics to impart basic knowledge of the Indian securities markets to the participants and the related rules and regulations. These include the basics of the Indian Securities Markets, processes involved in Primary and Secondary Markets and the schemes and products in Mutual Funds and Derivatives Markets in India. The book also covers the essential steps in financial planning process.

Edition : February 2018

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This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Certification Examination for Internal Auditors for Stock Brokers. NISM Series XIV : Internal Auditors for Stock Brokers Certification Examination seeks to create a common minimum knowledge benchmark for Independent Chartered Accountants, Company
Secretaries and Management Accountants, who carry out Internal Audit of the Operations of Stock Brokers/Clearing Members. The book covers the various operations of stock brokers, regulatory framework under which the stock brokers perform their various activities and various compliance and reporting requirements from audit perspective.

Edition: December 2018

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Version: March 2018

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