NISM Derivatives Exam Syllabus 2023 | NISM Derivatives Exam Syllabus PDF | NISM Exam Syllabus 2023 | NISM Derivatives Exam Pattern | NISM Syllabus | NISM Series 8 Equity Derivatives Syllabus |NISM Certification Exam Syllabus
NISM Derivatives Exam Syllabus 2023 | NISM Derivatives Exam Syllabus PDF Download @ www.nism.ac.in Derivatives Exam Syllabus: The Securities and Exchange Board of India has authorized intermediaries and market players to administer the National Institute of Securities Markets (NISM) exam. NISM certification exams are created by the School of Certification of Intermediaries. the 2007 NISM exams required under SEBI rules. In 150 Indian cities, these exams are given by test administrators. There are also several NISM certification Examinations that may be taken in Remote Proctored Mode.
NISM Derivatives Exam 2023: Marking Scheme
| Topics | Total Marks | Marks |
| NISM-Series-I | 100 | 100 (01 Mark Per Question) |
| NISM-Series-II-A | 100 | 100 (01 Mark Per Question) |
| NISM-Series-II-B | 100 | 100 (01 Mark Per Question) |
| NISM-Series-V-B | 50 | 50 (01 Mark Per Question) |
| NISM-Series-V-C | 75 MCQs (50 MCQ consisting of 1 mark each and 25 MCQs consisting of 2 marks each) | 100 (01 Mark Per Question) |
| NISM-Series-VI | 100 | 100 (01 Mark Per Question) |
| NISM-Series-X-A | 135 questions ( 90 MCQs + 45 case-based questions) | 150 (60 marks for 9 case-based questions) and 90 marks for MCQs (1 mark per MCQ) |
| NISM Series-X-B | 120 (90 MCQs + 6 cases x 5 questions per case) | 150 (90 questions carrying 1 mark each and 30 case-based questions carrying 2 marks each) |
| NISM-Series-XIII | 150 | 150 (01 Mark Per Question) |
NISM Derivatives Exam Pattern 2023 | NISM Exam Pattern 2023
Having a fair idea of the syllabus and exam pattern is helpful in tackling the exam with ease. The commission releases the exam pattern in the form of a PDF file before the exam. The candidates can check out this page for more info related to the syllabus and Exam pattern
- Exam Duration: Approximately two hours.
- Negative scoring is 1/4 or 25% of the total points for a question.
- No failing grades (Negative Marking): Exams for certification in the NISM-Series-V-A, NISM-Series-XII, and NISM-Series-V-B
NISM Exam Syllabus 2023 | NISM Derivatives Exam Syllabus 2023: Topic Wise
Knowing the Syllabus also eases the preparation by defining the topics on which a candidate can be tested.
NISM-Series-I: Currency Derivatives Certification Examination
- Introduction to Currency Markets
- Foreign Exchange Derivatives
- Exchange Traded Currency Futures
- Strategies Using Currency Futures
- Trading in Currency Futures
- Clearing, Settlement and Risk Management in Currency Futures
- Exchange Traded Currency Options
- Accounting and Taxation
- Regulatory Framework for Currency Derivatives
- Codes of Conduct and Investor Protection Measures
NISM-Series-II-A: Registrars to an Issue and Share Transfer Agents-Corporate Certification Examination
- Introduction to Securities
- Characteristics of Equity Shares
- Characteristics of Debt Securities
- Characteristics of Other Securities
- Basics of Mutual Funds
- SEBI – Role and Regulations
- Public Offer of Securities
- Modes of allotment of shares other than Public Offers
- Processes related to Public Offering of Shares
- Roles and Responsibilities in a Public Issue
- Depository Services
- Processes Related to Depositories
- Investor Interface with the R&T Agent
- Secondary Market Transactions
- Client Servicing
NISM-Series-II-B: Registrars to an Issue and Share Transfer Agents – Mutual Fund Certification Examination
- Introduction to Securities
- Characteristics of Equity Shares
- Characteristics of Debt Securities
- Characteristics of Other Securities
- SEBI – Role and Regulations
- Basics of Registrars and Transfer Agents
- Registrar and Transfer Agents Regulations
- Basics of Mutual Funds
- Mutual Fund Structure and Constituents
- Mutual Fund Products
- Operational Concepts of Mutual Funds
- Investors in Mutual Funds
- Banking Operations in Mutual Funds
- Financial Transactions
- Non-Financial Transactions
NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination
Part A – Understanding the Financial and Regulatory Structure in India
- Introduction to the Financial System
- Regulatory Framework – General View
- Introduction to Compliance
- SEBI Act, 1992
- Securities Contracts (Regulation) Act,
- Securities Contracts (Regulation) Rules, 1957
- SEBI (Intermediaries) Regulations, 1992
- SEBI (Prohibition of Insider Trading) Regulations, 1992
- SEBI (Prohibition of Fraudulent and Unfair Trade Practices Relating to Securities Market) Regulations, 2015
- Prevention of Money Laundering Act 2002
- SEBI (KYC Registration Agency) Regulations, 2011
Part B – Understanding Intermediary Specific Regulations
- SEBI (Stock Brokers and Sub-brokers) Regulations, 1992, Listing Agreement and SEBI (Delisting of Securities) Guidelines, 2003
- SEBI (Alternate Investment Funds) Regulation, 2012
- SEBI (Merchant Bankers) Regulations, 1992, SEBI (Delisting of Equity Shares) Regulations, 2009, SEBI (Substantial Acquisition of Shares & Takeovers) Regulations, 2011 and SEBI Takeover Code and SEBI (BuyBack of Securities) Regulations, 2018
- SEBI (Substantial Acquisition of Shares & Takeovers) Regulations, 2011
- SEBI (Delisting of Equity Shares) Regulations, 2009
- obligations of the Intermediary under the SEBI (Buyback of Securities) Regulations, 2018
- SEBI (Issue of Capital Disclosure and Requirements) Regulations, 2009
- SEBI (Depositories) Regulations, 1996
- SEBI (Depositories and Participants) Regulations, 2018
- SEBI (Bankers to an Issue) Regulations, 1994
- SEBI (Underwriters) Regulations, 1993
- SEBI (Debenture Trustees) Regulations, 1993
- SEBI (Credit Rating Agencies) Regulations, 1999
- SEBI (Custodian of Securities) Regulations, 1996
NISM-Series-IV: Interest Rate Derivatives Certification Examination
- Introduction to Interest Rate, Interest Rate Instruments and Fixed Income Market Instruments
- Interest Rate Derivatives
- Exchange Traded Interest Rate Futures
- Exchange Traded Interest Rate Options
- Strategies Using Exchange Traded Interest Rate Derivatives
- Trading Mechanism in Exchange Traded Interest Rate Derivatives
- Clearing, Settlement and Risk Management in Exchange Traded Interest Rate Derivatives
- Regulatory Framework for Exchange Traded Interest Rate Derivatives
- Accounting and Taxation
- Code of Conduct and Investor Protection Measure
NISM-Series-V-A: Mutual Fund Distributors Certification Examination
- Investment Landscape
- Concept and Role of a Mutual Fund
- Legal Structure of Mutual Funds in India
- Legal and Regulatory Framework
- Scheme Related Information
- Fund Distribution and Channel Management Practices
- Net Asset Value, Total Expense Ratio and Pricing of Units
- Taxation
- Investor Services
- Risk, Return, and Performance of Funds
- Mutual Fund Scheme Performance
- Mutual Fund Scheme Selection
NISM-Series-V-B: Mutual Fund Foundation Certification Examination
- Concept and Role of a Mutual Fund
- Fund Structure and Constituents
- Mutual Fund Products
- Performance of Mutual Funds
- Mutual Funds Taxation
- Offer Document
- Fund Distribution and Sales Practices
- Investor Transactions
- Investment Services
- Asset Classes
- Financial Planning Concepts
- Helping Investors with Financial Planning
- Legal and Regulatory Environment
NISM-Series-VI: Depository Operations Certification Examination
- Introduction to the Capital Market
- Introduction to Depository
- Depository and its Business Partners
- Functions of Depository Participant -Account Opening
- Functions of Depository Participant – Account Operations
- Functions of Depository Participant – Transmission and Nomination
- Functions of Depository Participant -Dematerialization
- Functions of Depository Participant -Trading and Settlement
- Special Services- Pledge and Hypothecation
- Special Services- Public Offering and Corporate Action
- Special Services- Debt Instruments and Government Securities
- Foreign Portfolio Investor
- Investor Services
NISM-Series-VII: Securities Operations and Risk Management Certification Examination
- Introduction to the Securities Market
- Market Participants in the Securities Market
- Introduction to the Securities Broking Operations
- Risk Management
- Clearing Process
- Settlement Process
- Investor Grievances and Arbitration
- Other Services Provided by Brokers
NISM-Series-VIII: Equity Derivatives Certification Examination
- Basics of Derivatives
- Understanding Index
- Introduction to Forwards and Futures
- Introduction to Options
- Strategies using Equity futures and Equity options
- Trading Mechanism
- Introduction to Clearing and Settlement System
- Legal and Regulatory Environment
- Accounting and Taxation
- Sales Practices and Investors Protection Services
NISM Series-IX: Merchant Banking Certification Examination
- Introduction to Capital Market
- Introduction to the Merchant Banking
- Registration, Code of Conduct & General Obligations of Merchant Bankers in India
- Issue Management – Important Terms
- Issue Management – Process and Underwriting
- Issue Management – General Obligations of Merchant Bankers and Due Diligence
- Other Merchant Banking Activities-Mergers, Acquisitions & Takeovers
- Other Merchant Banking Activities – Disinvestment, Buyback of Equity Shares
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Exam Pattern & Syllabus
