Continuing Professional Education

National Institute of Securities Markets (NISM) performs two functions delegated to it under the Securities and Exchange Board of India (Certification of Associated Persons in Securities Markets) SEBI (CAPSM) Regulations, 2007. They are:

  • Offering mandatory Certification Examinations for associated persons in the securities market intermediaries
  • Offering Continuing Professional Education (CPE) Programs for associated persons in the securities market intermediaries

Upon expiry of the validity of the certificate possessed by an associated person, the certificate shall be re-validated by passing the relevant NISM Certification Examination before the expiry of the existing certificate or by successfully completing a program of relevant one day ‘Continuing Professional Education (CPE)’ as may be specified by NISM during 12 months preceding the date of expiry of the certificate.

The certificate will be re-validated for a period of three years from the date of expiry of the existing certificate.

Click on the links below to find out more about NISM CPE Programs:

NISM Series-I: Currency Derivatives

NISM Series-II-A: RTA- Corporate

NISM Series-II-B: RTA – Mutual Funds

NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund)

NISM Series-IV: Interest Rate Derivatives

NISM Series-V-A: Mutual Fund Distributors  (Also available in Electronic mode)

NISM Series-V-B: Mutual Fund Foundation

NISM Series-VI: Depository Operations

NISM Series-VII: Securities Operations and Risk Management

NISM Series-VIII: Equity Derivatives (Also available in Electronic mode)

NISM Series-IX: Merchant Banking

NISM Series-X-A: Investment Advisor (Level 1)

NISM Series-X-B: Investment Advisor (Level 2) 

NISM Series XIII: Common Derivatives CPE

NISM Series XV: Research Analyst CPE

NISM Series XVII: Retirement Adviser CPE