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NISM Series IX: Merchant Banking Mock Test

  • Master the NISM Series IX: Merchant Banking Certification Exam effortlessly with our comprehensive package! Gain access to 500+ vital questions, including case studies, designed for clarity and deep understanding. Enjoy 15-days validity, 10 attempts per test, and instant online access post-payment. Subscription cost: Rs. 499 (+GST).
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NISM Series IX: Merchant Banking Mock Test and NISM Series IX Question Bank details

To establish a standardized foundational knowledge level for employees engaged with SEBI registered Merchant Bankers and undertaking diverse SEBI regulated tasks such as those related to IPO, FPO, Open Offer, Buy-back, Delisting, etc., the examination is designed for those dealing with:

  • Investors, issuers, or clients of intermediaries
  • Assets or funds of investors or clients
  • Resolution of investor grievances
  • Internal control or risk management
  • Activities influencing operational risk
  • Maintenance of books and records related to the aforementioned activities.

The NISM Series IX exam aims to ensure a basic understanding of various facets of capital market functions, the processes inherent in the diverse functions of registered Merchant Bankers, and the regulatory framework within which they operate.

Examination Objectives

The objective of the examination is to enhance comprehension of various regulations within the Merchant Banking domain. It also encompasses knowledge competencies related to understanding the financial structure in India and underscores the significance of the diverse rules and regulations governing the Indian securities market.


Upon successful completion of the examination, candidates should:

  • Possess foundational knowledge of Merchant Banking in India.
  • Demonstrate an understanding of the operations of Merchant Bankers concerning the Issue Management Process, Substantial Acquisition of Equity Shares, Buyback of Equity Shares, and Delisting of Shares.
  • Exhibit knowledge of the regulatory environment in which Merchant Bankers operate in India.
Assessment Structure

The exam comprises 100 questions, each carrying 1 mark, and candidates are allotted 2 hours for completion. To pass the examination, candidates need to achieve a minimum score of 60%. Negative marking is applied at a rate of 25% of the marks assigned to each question.

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