Course Objective

This 6-month program is designed for corporate finance and investment banking professionals preparing for four key certifications, NISM Series IX, NISM Series XV, FINRA Series 63, and FINRA Series 65, while simultaneously building practical job skills in valuation, financial modeling, and research analysis.
It includes:

Full exam preparation for all 4 certifications
Weekly live coaching + mocks + smart revision strategy
Practical training on equity research, financial modeling, and deal-making
Career acceleration: networking, freelancing, and portfolio building

Syllabus Coverage for Exam Purposes: NISM & FINRA

This program prepares you for 4 certifications - 2 for the Indian securities market and 2 for the U.S. securities market. All 4 exams can be taken from India.

NISM Certifications (Indian Securities Market):

NISM Series IX – Merchant Banking
NISM Series XV – Research Analyst

These certifications are conducted by NISM (National Institute of Securities Markets) and are mandatory for professionals working in merchant banking and equity research roles in India.

FINRA Certifications (U.S. Securities Market):

3.FINRA Series 63 – Uniform Securities Agent State Law

4.FINRA Series 65 – Uniform Investment Adviser Law

These certifications are administered by FINRA (Financial Industry Regulatory Authority) and are required for professionals advising U.S. clients or working with U.S.-registered investment firms. Both exams can be scheduled and completed from authorized prometric center in India.
All 4 certifications must be completed to receive the Executive Certificate.
We will help you schedule and prepare for each exam strategically.

Training methodology for exam prep

Weekly mock tests conducted separately for each certification, aligned with the module being covered
Mock tests follow certification-specific formats (NISM: negative marking | FINRA: no penalty)
Performance tracking dashboard to identify weak areas
Detailed solution walkthroughs after each mock exam
Final 4-week sprint plan for each certification
30-day revision checklist and priority topic mapping
Exam day strategy: time management, guessing techniques, stress control
Understanding negative marking (NISM) vs. no penalty (FINRA) approaches
Test center logistics and mental preparation tips

Syllabus

MODULE 1: FOUNDATION OF FINANCIAL MARKETS & CORPORATE FINANCE

Overview of Indian securities market structure and SEBI regulations Introduction to U.S. securities laws (SEC, state regulations) Corporate finance fundamentals: financial statements, capital structure, time value of money How companies raise capital through equity and debt markets Understanding regulatory frameworks: SEBI, SEC, NASAA Weekly mock tests aligned with the module as per the exam pattern

MODULE 2: MERCHANT BANKING & CAPITAL RAISING (PRACTICAL ASPECTS + NISM SERIES IX PREP)

Role and functions of merchant bankers in India SEBI registration requirements and code of conduct Issue Management: IPO/FPO process from preparation to post-issue activities Book-building, underwriting, and allotment procedures Substantial acquisition, open offers, buybacks, and delisting Case studies: real IPO launches and M&A transactions Practical project: Creating an IPO compliance checklist Weekly mock tests aligned with the module as per the exam pattern

MODULE 3: EQUITY RESEARCH & FINANCIAL ANALYSIS (PRACTICAL ASPECTS + NISM SERIES XV EXAM PREP)

Fundamental analysis: top-down (macro) and bottom-up (company) approaches Economic indicators and their market impact (GDP, interest rates, inflation) Industry analysis: identifying sector drivers and competitive dynamics Company analysis: business model, management quality, financial statement analysis Valuation methods: DCF, P/E, EV/EBITDA, comparable company analysis Writing professional equity research reports Practical project: Complete research report with buy/sell recommendation Weekly mock tests aligned with the module as per the exam pattern

MODULE 4: SECURITIES INDUSTRY ESSENTIALS (PRACTICAL ASPECTS + FINRA SIE EXAM PREP)

Understanding securities products: equities, debt, derivatives, mutual funds, ETFs Market structure: exchanges, OTC markets, trading mechanisms Regulatory agencies: SEC, FINRA, MSRB and their roles Prohibited practices and market manipulation prevention Account types and features: retirement accounts, margin accounts, custodial accounts Customer account handling and suitability requirements Preparing for FINRA-member firm or RIA affiliation Weekly mock tests aligned with the module as per the exam pattern

MODULE 5: U.S. SECURITIES LAW & ETHICS (PRACTICAL ASPECTS + FINRA SERIES 63 EXAM PREP)

\"Blue Sky\" laws and Uniform Securities Act overview State-level registration for broker-dealers, advisers, and agents Securities registration requirements and exemptions Prohibited practices and anti-fraud provisions Ethical standards and fiduciary duties to clients Handling client accounts and funds under state law Case studies: compliance scenarios and ethical dilemmas Weekly mock tests aligned with the module as per the exam pattern

MODULE 6: INVESTMENT ADVISORY & PORTFOLIO MANAGEMENT (PRACTICAL ASPECTS + FINRA SERIES 65 EXAM PREP)

Economics and Business Information (15%): macro cycles, risk types, financial reporting Investment Vehicles (25%): equities, bonds, derivatives, mutual funds, ETFs, alternatives Client Recommendations (30%): risk profiling, asset allocation, portfolio strategies Laws and Regulations (30%): IA laws, fiduciary duty, SEC/NASAA rules, ethics Modern portfolio theory and behavioral finance concepts Practical: Building an Investment Policy Statement and model portfolio Weekly mock tests aligned with the module as per the exam pattern

MODULE 7: CORPORATE FINANCE DEAL-MAKING AND VALUATION SKILLS

Financial modeling in Excel: 3-statement models and forecasting Advanced valuation: DCF modeling, sensitivity analysis, comparable transactions M&A process: deal evaluation, due diligence, synergy analysis Corporate actions: buybacks, dividends, capital restructuring Pitchbook creation and investment presentation skills Practical projects: Company valuation and M&A case study analysis Weekly mock tests aligned with the module as per the exam pattern

MODULE 8: PROFESSIONAL NETWORKING & CAREER ACCELERATION

LinkedIn optimization: profile, headline, summary for finance roles Building a portfolio showcasing your research reports and models Resume revamp: highlighting NISM/FINRA certifications effectively Freelancing setup: Upwork/Fiverr profiles for equity research and financial analysis Writing client proposals and pricing your services Outreach scripts for networking with industry professionals 2 mock client interviews + feedback sessions

MODULE 9: STUDY PLANNING & PRODUCTIVITY FOR WORKING PROFESSIONALS

How to study 10–15 hours per week with consistency What to study first and how to sequence your preparation Balancing full-time job with certification exam prep Daily routine templates: weekday study plans and weekend catch-up schedules Avoiding burnout: study variety, breaks, realistic goal-setting Accountability systems: mentorship, study groups, progress tracking

Course Plan

Above prices are inclusive of all applicable taxes and charges.

Standard

RS. 75000 incl. of all charges

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-1 online live class/ week

-2 practical or drafting exercises per week

-Get digital access to entire study material

-Access on LMS, Android & iOS app

-Instructor feedback on assignments

-Unlimited doubt clearing sessions.

-Instructor led course with online live classes

-Online exams (give exams as per your convenience on given time slots)

-Certificate (by courier)

-CV enhancement

-Coaching for professional networking

-Training for writing and publishing articles

-Internship & Job Support

-Interview preparation guidance

-Access to updated content online for 3 years

-Top students are recommended to law firms and companies (as applicable)

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Executive Certificate in Equity Analysis & Merchant Banking Operations

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