NISM-Series IX: Merchant Banking Certification Exam Notes
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Issuers: Companies or corporations offering securities to raise funds.
Investors: Categorized as retail (up to ₹2 lakh), institutional (QIBs), and non-institutional.
Intermediaries: Include stock brokers, merchant bankers, custodians, depositories, and RTAs.
Stock Brokers: Execute trades on behalf of clients, registered with SEBI.
Custodians: Safeguard securities, settle trades for clients.
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