NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Interest-Rate Options: Caps or floors to limit interest rate risks on floating-rate borrowings or investments.
Forward Rate Agreements (FRAs): Contracts locking in future interest rates for borrowing.
Securities Lending and Borrowing (SLB): Allows short sellers to borrow securities for delivery via clearing corporations.
E-Warehouse Receipts: Negotiable electronic receipts issued by WDRA-regulated repositories for stored goods.
REITs and InvITs: Investment vehicles monetizing real estate/infrastructure assets, offering liquidity and tax benefits.
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NISM 3A Securities Intermediaries Compliance
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