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Courses For Remote International Work , Executive Certificate Course (Live Classes)
Executive Certificate in Equity Analysis & Merchant Banking Operations
Duration - 6 Month, 8-10 hours/week
Course fee: - INR 75000
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
Standard
₹ 75000
incl. of all charges
-Printed study material (by courier)
-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)
