NISM-Series-IIIA: Securities Intermediaries Compliance (Non-Fund) Certification Examination

NISM/Certification/Series-III-A: SIC/2013/01 dated January 7, 2013

In exercise of the powers conferred by sub-regulation (3) of regulation 7 of the Securities and Exchange Board of India (Certification of Associated Persons in Securities Markets) Regulations 2007, National Institute of Securities Markets (NISM) in consultation with the Securities and Exchange Board of India hereby specifies the NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination as the requisite standard for the compliance officer/s and other person/s engaged in compliance function with any intermediary registered as Stock Brokers, Sub-brokers, Depository Participants, Merchant Bankers, Underwriters, Bankers to the Issue, Debenture Trustees and Credit Rating Agencies.

The NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination, offered by NISM, will be available from January 28, 2013.

Details of NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination are given in Annexure-I and Annexure-II attached to this communiqué/press release.

The text of these Annexures and the registration details are available at www.nism.ac.in.

-sd-G. P. GargRegistrarNational Institute of Securities Markets

Enclosures:

1) Annexure I

2) Annexure II