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Examination Objectives:

The examination seeks to create a common minimum knowledge benchmark for Independent Chartered Accountants, Company Secretaries and Management Accountants, who carry out Internal Audit of the Operations of Stock Brokers/Clearing Members.

On successful completion of the examination the candidate should:

  • Know regulatory framework under which the stock brokers perform their various activities.
  • Understand the various operations performed by the Stock brokers
  • Understand the various compliance and reporting requirements from audit perspective


Test Details

Name of Examination: NISM Series-XIV: Internal Auditors for Stock Brokers Certification Examination

Fees (Rs.) Test Duration (in minutes) No. of Questions Maximum Marks Pass Marks* (%) Certificate # Validity (in years)
1770+ 120 100 100 60 3

*: Negative marking – 25% of the marks assigned to the question

# Passing Certificate will be issued only to those candidates who have furnished/ updated their Income Tax Permanent Account Number (PAN) in their registration details.


NISM Internal Audiotors for Stock Brokers Syllabus