NISM-Series-VI: Depository Operations Certification Examination

Frequently Asked Questions about DOCE Exam

What are the other names of NISM Depository Exam ?

People refer to NISM Depository Exam by different names like nism 6, nism vi, nism series vi, cdsl exam, nsdl exam, dp exam, demat exam, dp certification exam etc.

Who can write / should write this exam?

Persons engaged or employed by a registered depository participant in:

  • (a) dealing or interacting with clients
  • (b) dealing with securities of clients
  • (c) handling redressal of investor grievances
  • (d) internal control or risk management
  • (e) activities having a bearing on operational risk; or
  • (f) maintenance of books and records pertaining to the above activities.

Can I renew my certificate or should I compulsorily take up the exam?

You can attend NISM Depository Operations CPE for 1 days before the expiry of the certificate and can renew the certificate. No need to take up the exam again.

But you have to attend NISM DOCE CPE before the expiry of the certificate. Candidates whose certificate has expired should take up NISM Series VI DOCE Exam again.

What kind of topics are covered in the syllabus?

  • Basics of the Indian security market and depository system.
  • Business partners of a Depository. DPs function, their eligibility criteria, registration procedure, rights and obligations etc
  • Functions of the Depository and its Depository Participants (DPs) such as dematerialization, trading and settlement, pledging and hypothecation.
  • Process of opening a demat account, documents required to open an account and the significance of Power of Attorney (POA).

How to register for NISM Depository Operations Certification Exam ?

You can register through the NISM website -

Study material for preparing for NISM DOCE examination.

Yes. We do Provide Study Notes for NISM Depository Operations Exam. The study notes are based on NISM Work book. It covers all the important concepts. It consists of 27 pages. However candidates are advised to go through NISM Work Book.

Study Material

How to prepare for DOCE Exam ?

NISM-Series-VI: Depository Operations Certification Examination

NISM VI Depository Operations Certification Examination Mock Test

How can I appear for NISM DOCE Model Test? Where do I get sample questions papers?

We offer Model Test demo and premium based on latest syllabus. Register to take Model Test

Syllabus Outline for DOCE Exam

NISM DOCE Syllabus Weightages (Syllabus wise question %)
1: Introduction to Securities Market 5%
2: Introduction to Depository 10%
3: Depository and its business partners 12%
4: Functions of DP - Account Opening 12%
5: Functions of DP- Account Operations 3%
6: Functions of DP - Transmission & Nomination 5%
7: Functions of DP - Dematerialisation 9%
8: Functions of DP - Trading and Settlement 13%
9: Functions of DP - Pledge and Hypothecation 10%
10: Functions of DP - Corporate Action & Public
11: Functions of DP - Debt and Government
12: Additional Services - Foreign Portfolio Investor 2%
13: Investor Services 2%

Assessment Structure: Exam Pattern for NISM DOCE

DURATION 120 Minutes
NO. OF QUESTIONS 100 one marks
EXAM FEES Rs 1500/-


Unit 1: Introduction to the Capital Market

Unit 2: Introduction to Depository

Unit 3: Depository and its business partners

Unit 4: Functions of Depository Participant -Account Opening

Unit 5: Functions of Depository Participant -Account Operations

Unit 6: Functions of Depository Participant - Transmission and Nomination

Unit 7: Functions of Depository Participant - Dematerialization

Unit 8: Functions of Depository Participant -Trading and Settlement

Unit 9: Special Services- Pledge and Hypothecation

Unit 10: Special Services- Public Offering /Corporate Action

Unit 11: Special Services- Debt Instruments and Government Securities

Unit 12: Foreign Portfolio Investor

Unit 13: Investor Services