NISM Series III B: Issuers Compliance Certification Examination

Who Should Prepare NISM 3B Issuers Compliance Certification Examination?

This NISM Certification mostly covers concepts related to Compliance of Intermediaries . After preparing for NISM Series III B, you will learn about the basics of Interest Rate Derivatives and Return and Risk Measures for Debt Securities and Contract Specification for Interest Rate Derivatives. Anyone who is working or have interest in derivative market can prepare for this NISM Module.

Study Material For NISM Series III B:

You can buy Nism 3B workbook from Amazon or you can download Ebook of NISM 3B from here free of cost.

We have also provided Free Mock test for Nism Series III B in this website. Our Nism Mock test discuss all the relevant concepts of this Certification in detail and provide accurate explanation for every question.

LIST OF CHAPTERS IN NISM Series 3B :

Unit NAME OF UNITS DIFFICULTY LEVEL
1Introduction To Indian Capital MarketEasy
2Capital Market RegulationsMedium
3Compliance OfficerMedium
4Raising Capital from the MarketMedium
5Role of Compliance Officer in IPOTough
6Role of Compliance Officer in Other Public IssuesMedium
7Raising Money from Foreign MarketMedium
8Corporate ActionsMedium
9Oongoing Compliance RequirementsMedium
You can register for NISM in their official website

NISM Series 3B Summary of all Units:

After studying this chapter, you should know about:
 Role of capital markets
 Structure of capital market in India
 Important terminology related to capital markets
 Capital market participants
 Regulatory framework in capital market

NISM Issuers Compliance Mock Test (Play And Earn):

#1. Stamp duty will be imposed on the transfer of mutual fund units.

From 1st July 2020,

Stamp duty will be imposed on the transfer of mutual fund units.

Stamp duty will be imposed on Transfer of units from one demat account to another at the rate of 0.015%.

#2. In case of HUF, long term capital gain tax on equity mutual fund is

Taxation for Individual and HUF is same.

#3. In case of Domestic company, long term capital gain tax on debt mutual fund is

Taxation for Individuals, HUF and Domestic companies is same.

So, long term capital gain tax on debt mutual fund is 20% with Indexation benefit for all of them.

#4. In an Conservative portfolio, the highest allocation is not in the support of

In Conservative portfolio,

there is relatively less equity exposure as Investors  here have less risk taking capacity.

So in a Conservative portfolio, the highest allocation is  in the favor of debt funds not equity.

While in Case of an Aggressive portfolio,

there is relatively more equity exposure as Investors here have more risk taking capacity.

#5. Only existing unit holders can use transaction slips

Only existing unit holders can used transaction slips as they got folio number already.

But first time and NFO investor can only use transaction slips after getting folio number.

#6. Reaping phase corresponds with

Reaping phase and distribution phase both are retirement phase of unit holder.

#7. The cut off time for Arbitrage fund repurchase is

It doesn’t matter whether mutual fund is Liquid or Arbitrage.

For all mutual funds the cut off time for repurchase is 3 pm.

#8. An investors invest Rs. 2 crores in Liquid fund. what would be the applicable NAV for allotments of units? If application is time stamped at 3:30 pm and funds available with mutual funds at 1:45 pm.

#9. An investors invest Rs. 1 crores in Liquid fund. what would be the applicable NAV for allotments of units? If application is time stamped at 1:30 pm and funds available with mutual funds at 1 pm.

#10. An investors invest Rs. 1 crores in Liquid fund. what would be the applicable NAV for allotments of units? If application is time stamped at 3 pm and funds available with mutual funds at 2 pm

#11. An investors invest Rs. 1 crore in Sector fund. what would be the applicable NAV for allotments of units? If application is time stamped at 1:30 pm and funds available with mutual funds at 2 pm.

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Results

 

 

Click here to Start : Part 9 of Premium NISM Mock Test of NISM V A

 

 

Disclaimer: Investment in securities market are subject to market risks, read all the related documents carefully before investing. Please read the Risk Disclosure documents carefully before investing in Equity Shares, Derivatives, Mutual fund, and/or other instruments traded on the Stock Exchanges.

As investments are subject to market risks and price fluctuation risk, there is no assurance or guarantee that the investment objectives shall be achieved. Past performance of securities/instruments is not indicative of their future performance. This post is only for Educational purpose.

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