NISM Series XIII Common Derivatives Certification Exam Notes

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  • Bad delivery documents must not be knowingly delivered.
  • Full cooperation is required to protect clients’ rights to dividends, bonuses, etc.
  • Transactions must be settled promptly with other brokers.
  • Advertising without exchange permission is prohibited.
  • Unfair means to induce clients from other brokers is forbidden.

NISM Common Derivatives

MODELEXAM MODELEXAM®