NISM-Series IX: Merchant Banking Certification Exam Notes
Page 6 Of 79
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Depositories: Hold and transfer securities in dematerialized form (CDSL, NSDL).
Depository Participants (DPs): Agents of depositories, registered with SEBI.
Merchant Bankers: Manage issue processes, underwriting, and advisory services.
Registrars and Transfer Agents (RTAs): Handle investor applications and share transfers.
Self-Certified Syndicate Banks (SCSBs): Facilitate Application Supported by Blocked Amount (ASBA).
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