The School for Certification of Intermediaries (SCI) at NISM is engaged in developing and administering Certification

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2 ABOUT NISM National Institte of Secrities Markets (NISM) was established by the Secrities and Exchange Board of India (SEBI), in prsance of the annoncement made by the Finance Minister in his Bdget Speech in Febrary SEBI, by establishing NISM, articlated the desire expressed by the Government of India to promote secrities market edcation and research. Towards accomplishing the desire of Government of India and vision of SEBI, NISM delivers financial and secrities edcation at varios levels and across varios segments in India and abroad. To implement its objectives, NISM has established six distinct schools to cater to the edcational needs of varios constitencies sch as investors, issers, intermediaries, reglatory staff, policy makers, academia and ftre professionals of secrities markets. NISM is mandated to implement Certification s for professionals employed in varios segments of the Indian secrities markets. NISM also condcts nmeros training programs and brings ot varios pblications on secrities markets with a view to enhance knowledge levels of participants in the secrities indstry. Taxmann is a growth-driven pblishing hose with its independent marketing network. We have an impressive tally of titles on Tax, Corporate and Commercial Laws. Professionals and Corporates look p to Taxmann to provide them with high-qality books on Direct Tax Laws, Indirect Tax Laws, Company Law and all Allied Laws. Taxmann s credentials are well established: its experience in the indstry, editorial expertise and market network, strike a combination that delivers the best. Taxmann has highly qalified technical personnel with in-depth knowledge of all aspects of management for rnning a sccessfl commercial enterprise. The motto is Spearheading the prsit of expertise and athenticity. Accracy and professional expertise are not only a passion for s bt also an obsession. ABOUT NISM CERTIFICATIONS The School for Certification of Intermediaries (SCI) at NISM is engaged in developing and administering Certification s and CPE Programs for professionals employed in varios segments of the Indian secrities markets. These Certifications and CPE Programs are being developed and administered by NISM as mandated nder Secrities and Exchange Board of India (Certification of Associated Persons in the Secrities Markets) Reglations, The skills, expertise and ethics of professionals in the secrities markets are crcial in providing effective intermediation to investors and in increasing the investor confidence in market systems and processes. The School for Certification of Intermediaries (SCI) seeks to ensre that market intermediaries meet defined minimm common benchmark of reqired fnctional knowledge throgh Certification s and Contining Professional Edcation Programmes on Mtal Fnds, Eqities, Derivatives Secrities Operations, Compliance, Research Analysis, Investment Advice and many more. Certification creates qality market professionals and catalyzes greater investor participation in the markets. Certification also provides strctred career paths to stdents and job aspirants in the secrities markets. 2

3 Details Abot NISM Certification s Sr. No NISM Certification Test Dration Fees (Rs)# Maximm Marks Pass Mark (%) Negative Marking (%) 1 NISM Series I: Crrency Derivatives Certification 2 NISM Series II A: Registrars and Transfer Agents (Corporate) Certification 2hrs NISM Series II B: Registrars and Transfer Agents (Mtal Fnd) Certification 2hrs NISM Series III A: Secrities Intermediaries Compliance (Non-Fnd) Certification 5 NISM Series III B: Issers Compliance Certification 2hrs 1500* NISM Series IV: Interest Rates Derivatives Certification 7 NISM Series V A: Mtal Fnd Distribtors Certification 2hrs NA 8 NISM-Series V B: Mtal Fnd Fondation Certification 2hrs NA 9 NISM-Series-V C: Mtal Fnd Distribtors (Level 2) Certification 2hrs 1500* NISM Series VI: Depository Operations Certification 11 NISM Series VII: Secrities Operations and Risk Management Certification 2hrs NISM Series VIII: Eqity Derivatives Certification 13 NISM Series IX: Merchant Banking Certification 14 NISM Series X A: Investment Adviser (Level 1) Certification 15 NISM Series X B: Investment Adviser (Level 2) Certification 16 NISM Series XI: Eqity Sales Certification 2hrs 1500* NISM Series XII: Secrities Markets Fondation Certification 2hrs 1500* NA 18 NISM Series XIII: Common Derivatives Certification 3hrs NISM Series XIV: Internal Aditors for Stock Brokers Certification 2hrs 1500* NISM Series XV: Research Analyst Certification 21 NISM series XVII : Retirement Adviser Certification examination #Fees is sbject to revision. *Indicates non-mandated examination. Service tax is applicable on the examination fees. How to Register and take the To find ot more and register for the examination please visit 3

4 Series-I Certification for Crrency Derivatives Syllabs Otline Introdction to Crrency Markets Foreign Exchange Derivatives Exchange Traded Crrency Ftres Strategies Using Crrency Ftres Trading in Crrency Ftres Clearing, Settlement and Risk Management in Crrency Ftres Exchange Traded Crrency Options Acconting and Taxation Reglatory Framework for Crrency Derivatives Codes of Condct and Investor protection Measres PRICE : ` 250 edition : 2016 pages : 168 ISBN : Series-IIA Certification for Registrars to an Isse and Share Transfer Agents - Corporate Syllabs Otline Introdction to Secrities Characteristics of Eqities Characteristics of Other Secrities Characteristics of Debt Instrments Basics of Mtal Fnds SEBI s Role and Relevant Reglations Pblic Offer of Secrities - Featres Private Placement of Shares Pblic Offer of Secrities - Processes Roles and Responsibilities in a Pblic Isse Depository Services Process related to Depositories Investor Servicing Processes Role of stock exchanges and other participants in the secondary market PRICE : ` 250 edition : 2015 pages : 144 ISBN :

5 Series-IIB Certification for Registrars to an Isse and Share Transfer Agents - Mtal Fnd Syllabs Otline Introdction to Secrities Characteristics of Eqities Characteristics of Other Secrities Characteristics of Debt Instrments Basics of Mtal Fnds SEBI s Role and Relevant Reglations Strctre and constitents of Mtal Fnds Mtal fnd prodcts Applicable NAV and ctoff time Prchase, redemption and systematic transactions Investor and distribtor processes and payots PRICE : ` 250 edition : 2016 pages : 178 Series-IIIA Certification for Secrities Intermediaries Compliance (Non-Fnd) Syllabs Otline Part A: Understanding the Financial and Reglatory Strctre in India Introdction to Financial System Reglatory Framework: General View Introdction to Compliance SEBI Act, 1992 Secrities Contracts (Reglation) Act, 1956 and Secrities Contracts (Reglation) Rles, 1957 SEBI (Intermediaries) Reglations, 2008 SEBI (Prohibition of Insider Trading) Reglations, 1992 SEBI (Fradlent and Unfair Trade Practices Relating to Secrities Markets) Reglations, 2003 The Prevention of Money Landering Act, 2002 SEBI (KYC Registration Agency) Reglations,

6 Part B: Understanding Intermediary Specific Reglations SEBI (Stock Brokers and Sb-Brokers) Reglations, 1992 SEBI (Merchant Bankers) Reglations, 1992, Listing Agreement & SEBI (Delisting of Secrities) Gidelines, 2003, SEBI Takeover Code & SEBI (Byback of Secrities) Reglations, 2006 SEBI (Isse of Capital and Disclosre Reqirements) Reglations, 2009 Depositories Act, 1996 SEBI (Depositories and Participants) Reglations, 1996 SEBI (Bankers to an Isse) Reglations, 1994 SEBI (Underwriters) Reglations, 1993 SEBI (Debentre Trstees) Reglations, 1993 SEBI (Credit Rating Agencies) Reglations, 1999 SEBI (Cstodian of Secrities) Reglations, 1996 Series-IIIB Certification for Issers Compliance Syllabs Otline Introdction to Indian Capital Market Capital Market Reglations Compliance Officer Raising Capital from the market Role of Compliance Officer in IPO Role of Compliance Officer in other pblic Isses Raising money from foreign market Corporate Actions Ongoing Compliance Reqirements Series-IV Certification for Interest Rate Derivatives Syllabs Otline PRICE : ` 250 edition : 2015 pages : 288 ISBN : PRICE : ` 250 edition : 2016 pages : 248 ISBN : Fixed-income and Debt Secrities Introdction Interest Rate Introdction Retrn and Risk Measres for Debt Secrities Interest Rate Derivatives Contract Specification for Interest Rate Derivatives Trading, Clearing, Settlement and Risk Management Reglations and Compliance Trading and Hedging PRICE : ` 250 edition : 2015 pages : 136 ISBN :

7 Series-VA Certification for Mtal Fnd Distribtors Syllabs Otline Concept and role of a mtal fnd Fnd strctre and constitents Legal and reglatory environment Offer docment Fnd distribtion and channel management practices Acconting, valation and taxation Investor services Retrn, risk & performance of fnds Scheme selection Selecting the right investment prodcts for investors Helping investors with financial planning Recommending model portfolios and financial plans PRICE : ` 250 edition : 2015 pages : 268 ISBN : Also Available: E;wpqvy QaM fmlvªhc;wvj dk;zøe dh :ijs[kk E;wpqvy QaM dh voèkkj.kk vksj Hkwfedk QaM LVªDpj,oa la?kvd fof/kd vksj fof;ked flfkfr;k v Qj MkWD;wesaV QaM fmlvªhc;w k vksj psy esstesav çsfdvl vdkmafvax] osy;w, k vksj VSDls k fos kd lsok,a QaMksa dk fjvz] tksf[ke vksj ijq es±l Ldhe p; fos kd ds fy, lgh fos k ç MDV dk p; fos kd dks foùkh; Iykfax esa lgk;rk ekwmy iksvzqksfy;ks vksj foùkh; Iyk PRICE : ` 250 edition : 2016 pages : 272 ISBN :

8 Series-VB Certification for Mtal Fnd Fondation Syllabs Otline Concept and Role of a Mtal Fnd Fnd Strctre and Constitents Mtal Fnd Prodcts Performance of Mtal Fnds Mtal Fnd Taxation Offer Docment Fnd Distribtion and Sales Practices Investor Transactions Investor Services Asset Classes Financial Planning Concepts Helping Investors with Financial Planning Legal and Reglatory Environment PRICE : ` 250 Edition 2016 pages : 166 Series-VC Certification for Mtal Fnd Distribtors (Level 2) Syllabs Otline Mtal Fnd Strctres Legal and Reglatory Environment of Mtal Fnds Fnd Distribtion and Sales Practices Investment and Risk Management Valation of Schemes Acconting Taxation Investor Services Scheme Evalation Asset Classes and Alternate Investment Prodcts Cases in Financial Planning Ethics and Investor Protection PRICE : ` 250 edition : 2015 pages : 164 ISBN :

9 Series-VI Certification for Depository Operations Syllabs Otline Introdction to Secrities Market Introdction to Depository Depository and its bsiness Partners Fnctions of DP - Accont Opening Fnctions of DP - Transmission & Nomination Fnctions of DP - Dematerialisation Fnctions of DP - Trading and Settlement Fnctions of DP - Pledge and Hypothecation Fnctions of DP - Corporate Action Fnctions of DP - Pblic Isses Fnctions of DP - Debt and Government Secrities Additional Services - Foreign Portfolio Investor Additional Services - Rajiv Gandhi Eqity Saving Schemes Additional Services - Basic Services Demat Accont PRICE : ` 250 edition : 2016 pages : 220 Series-VII Certification for Secrities Operations and Risk Management Syllabs Otline Introdction to Secrities Market Market Participants in the Secrities Market Introdction to Secrities Broking Operations Risk Management Clearing Process Settlement Process Investor Grievances and Arbitration Other Services Provided by Brokers PRICE : ` 250 edition : 2016 pages : 168 9

10 Series-VIII Certification for Eqity Derivatives Syllabs Otline Basics of Derivatives Understanding Index Introdction to Forwards and Ftres Introdction to Options Option Trading Strategies Introdction to Trading Systems Introdction to Clearing and Settlement System Legal and Reglatory Environment Acconting and Taxation Sales Practices and Investors Protection Services PRICE : ` 250 edition : 2015 pages : 204 ISBN : Series-IX Certification for Merchant Banking Syllabs Otline Introdction to the Capital Market Introdction to the Merchant Banking Registration, Code of Condct & General Obligations of Merchant Bankers in India Isse Management Important Terms Isse Management Process and Underwriting Isse Management General Obligations of Merchant Bankers and De Diligence Other Merchant Banking Activities - Mergers, Acqisitions & Takeovers Other Merchant Banking Activities - Disinvestment, Byback of Eqity Shares PRICE : ` 250 edition : 2015 pages : 208 ISBN :

11 Series X-A Certification for Investment Adviser (Level 1) Syllabs Otline Introdction to Indian Financial Market Secrities Market Segments Mtal Fnds Investment Prodcts Managing Investment Risk Measring Investment Retrns Concept of Financial Planning Asset Allocation and Investment Strategies Insrance Planning Retirement Planning Tax and Estate Planning Reglatory Environment and Ethical Isses PRICE : ` 250 edition : 2016 pages : 344 ISBN : Series X-B Certification for Investment Adviser (Level 2) Syllabs Otline Understanding secrities markets and performance Prodct analysis and selection Knowing operational aspects of financial transactions Personal financial planning Reglatory and compliance aspects Case stdies in comprehensive financial advice Comprehensive financial planning PRICE : ` 250 edition : 2016 pages : 296 ISBN :

12 Series XI Certification for Eqity Sales Syllabs Otline Overview of Indian Secrities Markets Reglatory Framework Primary Markets Secondary Markets Understanding Market Indicators Trading and Risk Management Clearing and Settlement Market Srveillance Client Management PRICE : ` 250 edition : 2015 pages : 172 ISBN : Series XII Certification for Secrities Markets Fondation Syllabs Otline Introdction to Indian Secrities Markets Secrities: Types, Featres and Concepts Primary Markets Secondary Markets Mtal Fnds Derivatives Markets Financial Planning and Secrities Markets PRICE : ` 250 edition : 2015 pages : 216 ISBN :

13 Series XIII Certification for Common Derivatives Syllabs Otline Basics of Derivatives Introdction to the Underlying Markets Introdction to Forwards and Ftres Strategies Using Ftres Introdction to Options Option Trading Strategies Introdction to Trading, Clearing, Settlement & Risk Management Legal and Reglatory Environment Acconting and Taxation Sales Practices, Code of Condct and Investor Protection Measres 1. PRICE : ` 250 edition : 2015 pages : 136 ISBN : PRICE : ` 250 edition : 2015 pages : 204 ISBN : PRICE : ` 250 edition : 2016 pages : 168 isbn :

14 Series XIV Certification for Internal Aditors for Stock Brokers Syllabs Otline Part A: Reglatory Framework Introdction to Internal Adit Understand the Financial System and the reglatory framework SEBI Act, SCRA and SCRR SEBI Insider Trading Reglations SEBI (Fradlent and Unfair Trade Practices) Reglations PMLA 2002 SEBI Stock Brokers and Sb-Brokers Reglations Part B: Operations Introdction to Stock Broking Operations Risk Management Clearing and Settlement Process Investor Grievance Redressal PRICE : ` 250 edition : 2016 pages : 280 ISBN : Series XV Certification for Research Analyst Syllabs Otline Introdction to Research Analyst Profession Introdction to Secrities Market Terminology in Eqity and Debt Markets Fndamentals of Research Economic Analysis Indstry Analysis Company Analysis - Qalitative Dimensions Company Analysis Qantitative Dimensions Corporate Actions Valation Principles Fndamentals of Risk and Retrn Qalities of a good Research Report Legal and Reglatory Environment PRICE : ` 250 edition : 2016 pages : 232 ISBN :

15 Series XVII Certification for Retirement Adviser Syllabs Otline Fndamental Concepts in Retirement Planning Other Investment Prodcts Financial markets and investment prodcts Retirement Planning Strategies Retirement Planning Retirement Planning Prodcts : National Pension System Special Sitations in Retirement Reglations and Reglators Evalating fnd performance and fnd selection PRICE : ` 250 edition : 2016 pages : 316 ISBN :

16 ORDER FORM Books Price : ` Crrency Derivatives 250 Registrars to an Isse and Share Transfer Agents - Corporate Registrars to an Isse and Share Transfer Agents - Mtal Fnd Secrities Intermediaries Compliance (Non-Fnd) 250 Issers Compliance 250 Interest Rate Derivatives 250 Mtal Fnd Distribtors 250 E;wpqvy QaM fmlvªhc;wvj 250 Mtal Fnd Fondation 250 Mtal Fnd Distribtors (Level 2) 250 Depository Operations 250 Books Price : ` Secrities Operations and Risk Management 250 Eqity Derivatives 250 Merchant Banking 250 Investment Adviser (Level 1) 250 Investment Adviser (Level 2) 250 Eqity Sales 250 Secrities Markets Fondation 250 Common Derivatives Interest Rate Crrency Derivatives Eqity Derivatives 250 each Internal Aditors for Stock Brokers 250 Research Analyst 250 Retirement Adviser 250 Yes! I wish to order I enclose cheqe/draft No.... drawn on... payable to TAXMANN ALLIED SERVICES PVT. LTD. for `.../- or please charge my Credit Card for `.../- For Debit Card and Net Banking log on to Card No. Expiry Date CVV No. (CVV nmber is a 3 digit nmber which appears on the reverse of the Card and follows the 16 digit Card nmber.) Name... Name of Firm/Organisation... Flat/Door No... Street/Road No... Area Locality... City... State... Pin code... Phone No...Mobile No... ID... 16