NISM Certification Exam 1000+ Questions with Answers

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Get 1000 Questions and Answers set to pass NISM Exam and get NISM Certified. Do not delay. Start downloading the test papers now to crack the NISM exam and get high-paid financial job.


Download the latest Questions and Answers asked in NISM Certification Exam Course. There is a total of 1000 Mock Questions and their Answers for you to prepare well and crack the NISM Certification exam. It is important to take up this mock test to know where you stand in terms of your preparation. It is a downloadable file with a set of Questions and Answers, easy to read and in a structured format. This includes various questions from previous years and the latest trending questions as well. Below are the contents on which the NIS Certification Exam Questions are based:

Prerequisite for taking this practice test:

  • Any Fresher can take up this test

Advantages of going through the NISM Certification Exam test papers

  • Pass NISM Certification Exam with flying colors
  • Prepare for any financial job interviews specially for stockbroking, insurance, and banking sector jobs
  • Prepare for any other Financial exams
  • Score well in Financial Subjects
  • Understand the Financial World inclusive of basics of the stock market, mutual fund, derivatives, etc.

What do the 1000+ NISM Certification Exam Mock Questions and Answers consist of?

Introduction to Securities

  • Introduction to Equity and Debt
  • Features of Equity Capital and Benefits to Equity Investors
  • Features of Debt Capital and Benefits to Debt Investors
  • Hybrid Structures

Characteristics of Equity Shares

  • Investors in Equity Shares
  • Rights of a Shareholder
  • Risks in Equity Investing
  • Equity Terminology
  • Corporate Actions
  • Reduction of Share Capital
  • Preference Shares
  • Rights Issue of Shares
  • Preferential Issue

Characteristics of Debt Securities

  • Features of a Debt Security
  • Market Value of a Debt security
  • Yield from Debt Instruments
  • Types of Debt Securities
  • Classification of Debt Market
  • Credit Rating
  • Money Market Instruments

Characteristics of Other Securities

  • Features of a Debt Security
  • Market Value of a Debt security
  • Yield from Debt Instruments
  • Types of Debt Securities
  • Classification of Debt Market
  • Credit Rating
  • Money Market Instruments

Basics of Mutual Funds

  • Introduction to Mutual Funds
  • Advantages of Mutual Funds
  • Open-Ended and Close Ended Mutual Funds
  • Assets under Management (AUM)
  • Net Assets

SEBI – Role and Regulations

  • Securities and Exchange Board of India Act, 1992 and Role of SEBI
  • SEBI Regulations specifically aimed at Investor Protection
  • Investor Education and Protection Fund (IEPF) Authority
  • SEBI Regulations for Registrars and Transfer Agents

Modes of allotment of shares other than Public Offers

  • Private Placement of Shares
  • Qualified Institutions Placement
  • Rights Issue
  • Employee Stock Options (ESOPs)
  • Conversion of Convertible Debentures/ Bonds into shares

Public Offer of Securities

  • Issuing Equity Capital
  • Public Offer of Shares
  • Reservations
  • Initial Public Offer
  • Eligibility for Public Issue of Shares
  • Further Public Offer
  • Buy-Back of Securities

Processes related to Public Offering of Shares

  • Pre-Issue Work
  • Post-Issue Work
  • Terms and Concepts in Public Issue of Shares
  • Prospectus
  • Red Herring Prospectus
  • Underwriting
  • Green Shoe Option
  • Methods of Making a Public Issue of Shares
  • Initial Public Offer (IPO) by Small and Medium Enterprises (SME)

Roles and Responsibilities in a Public Issue

  • Registrar and Transfer Agents
  • Sponsor Bank
  • Bankers to the Issue
  • Role and Responsibilities of the Registrar to the Issue regarding UPI Mechanism
  • Brokers to the Issue/Syndicate Members/ Designated Intermediaries

Depository Services

  • Dematerialization
  • Constituents of the Depository System
  • Investor’s Interface with the Depository

Processes Related to Depositories

  1. Dematerialization of Securities
  2. Rematerialisation of Securities
  3. Trading and Settlement
  4. Beneficial Owner Reporting
  5. Corporate Actions
  6. Reconciliation
  7. Crediting shares to IEPF Account

Investor Interface with the R&T Agent

  • Transfer of Securities
  • Recording Change in Investor Information
  • Issue of Duplicate Certificate for Securities
  • Stop Transfers
  • Transmission
  • Annual General Meeting
  • E-Voting
  • Responsibilities of RTA during Annual General Meetings (AGM)

Secondary Market Transactions

  • Stock Markets
  • Participants in the Stock Markets
  • Listing of Securities
  • SEBI (Listing Obligations and Disclosure Requirements) Regulations 2015 (LODR)

Client Servicing

  • Investor in context of RTA organization
  • First Time Right (FTR)
  • Principles of Client Servicing
  • Service etiquettes of RTA organizations in Client Servicing

Introduction to Commodity Markets

  • History of Commodity Trading
  • Spot and Derivatives Trading in Commodities
  • Major Commodities Traded in Derivatives Exchanges in India
  • Participants in Commodity Derivatives Markets
  • Commodities Trading vis-à-vis Trading in Other Financial Assets
  • Commodity Markets Ecosystem
  • Factors Impacting the Commodity Prices
  • Commodity Options and Index Futures

Futures Derivatives

  • Introduction to Futures
  • The distinction between Forwards and Futures
  • Cost-of-Carry
  • Convergence
  • Fair Value of a Futures Contract
  • Convenience Yield
  • Commodity Futures and Commodity Forwards
  • Pay-off Profile for Futures Contracts
  • Spot Price Polling and Final Settlement Price of Futures

Options Derivatives

  • Introduction to Options
  • Option Terminology
  • Pay-off Profiles of Options Contracts
  • Determinants of Option Premium
  • Options on Commodity Futures
  • Options on Goods


  • Commodity Index
  • Index Construction and its Constituents
  • Trading in Index Futures
  • Uses of Index Futures

Uses of Derivatives

  • Hedging
  • Long Hedge and Short Hedge Strategies Using Futures
  • Speculation
  • Arbitrage
  •  Spread Trading
  • Basis
  • Option Trading Strategies
  •  Hedging Strategies Disclosure Norms

Trading Mechanism

  • Membership on Exchanges Having Derivatives Segment
  • Trading System in the Exchanges
  • Selection Criteria of Commodities for Trading on Derivatives Exchanges
  • Contract Specifications for Derivatives Contracts
  • Profit/Loss per Contract for a Change of One Tick
  • Order Types and Conditions
  • Tracking Commodity Futures and Options Prices
  • Participants in the Derivatives market
  • Disclosures by Exchanges

Clearing Settlement and Risk Management of Derivatives

  • Clearing Corporation
  • Clearing and Settlement
  • Delivery Process
  • Entities Involved in the Clearing and Settlement Process
  • Premium/Discount
  • Penalty for Delivery Default
  • Deliveries in the Case of Physical Delivery
  • Risk Management for Exchange Traded Derivatives Markets
  • Position Limits and Computation of Open Position
  • Salient Features of Risk Containment Measures
  • Margining Mechanism
  • Additional Procedures for Other Market Segment
  • Raising of Bill for Delivery

Accounting and Taxation

  • Important Accounting Aspects related to Trading in Derivatives
  • Guidance Note Issued by ICAI on Accounting Treatment of Derivative Transactions
  • Accounting of Options Contracts
  • Important Tax Aspects Related to Trading in Derivatives

Legal & Regulatory Environment of derivatives

  • Regulatory Structure of Derivative Market
  • Securities Contracts (Regulation) Act, 1956
  • Securities and Exchange Board of India Act, 1992
  • Other Regulatory Norms to Encourage Commodity Derivatives
  • SEBI’s Code of Conduct for Brokers
  • Risk Disclosure to Client and KYC
  • Investors Grievance Redressal Mechanism
  • Rights and Obligations of Members and Clients
  • Additional Do’s and Don’ts for Clients / Investors in Derivatives

Take up these Test Papers to crack NISM Certification Exam with good marks! In case of Doubts do mail us we will try to answer your queries and help you in passing the NISM Certification exam.

37 reviews for NISM Certification Exam 1000+ Questions with Answers

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  26. Pankaj Kumar

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  28. Srirupa Das


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  37. Anjali

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