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Home > NISM Modules

NISM Modules

Mentioned below is the detailed information about various NISM Modules. List also provides key information about respective benefits of NISM certifications and its importance in Financial Domain.

Module Series
Name of Module
Information
NISM-Series-I
Currency Derivatives Certification Examination
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 derivatives products, better quality investor service, operational process efficiency and risk controls.
NISM-Series-II-A
Registrars to an Issue and Share Transfer Agents - Corporate Certification Examination
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 corporate R&T function, in order to enable better quality investor service, operational process efficiency and risk controls.
NISM-Series-II-B
Registrars to an Issue and Share Transfer Agents - Mutual Fund Certification Examination
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.
NISM-Series-IV
Interest Rate Derivatives Certification Examination
The examination seeks to create a common minimum knowledge benchmark for persons working in the Interest Rate Derivatives market segment, in order to enable a better understanding of fixed income securities markets and exchange traded interest rate derivative products, regulations and risks associated with the products and the exchange mechanisms of clearing and settlement.
NISM Series-VA
Mutual Fund Distributors Certification Examination
The 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 certification aims to enhance the quality of sales, distribution and related support services in the mutual fund industry.
NISM-Series-VI
Depository Operations Certification Examination
The examination seeks to create a common minimum knowledge benchmark for associated persons engaged or employed by a registered depository participant in:

  • dealing or interacting with clients
  • dealing with securities of clients
  • handling redressal of investor grievances
  • internal control or risk management
  • activities having a bearing on operational risk or
  • maintenance of books and records pertaining to the above activities

The certification aims to enhance the quality of services as rendered by the Depository Participants.
NISM-Series-VII
Securities Operations and Risk Management Certification Examination
The 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

  • assets or funds of investor or clients
  • redressal of investor grievances,
  • internal control or risk management and
  • activities having a bearing on operational risk.
NISM-Series-VIII
Equity Derivatives Certification Practice Tests
The examination aims to enable a better understanding of various derivatives products available in equity derivatives markets, regulations and risks associated with the products and the exchange mechanisms of clearing and settlement.

NISM-Series-XA
Investment Adviser (Level 1) Certification
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.

  • Individual Financial Advisors
  • Employees of organizations engaged in financial advisory services, including Stock Broking and Distribution Houses, Banks, Wealth Management Companies, Asset Management Companies, Insurance Companies, Consumer Credit Companies etc.
NISM-Series-XV
Reacerch Analyst
NISM-Series-XV: Through the Research Analyst Exam you will get to know about the basics of Indian Securities Markets and different terminologies used in equity and debt markets, followed by industry drivers and sources of information for industry analysis and Fundamentals of Risk and Return, Valuation Principles and the philosophy of various Corporate Actions.
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