NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Stock Broker Definition: SEBI-registered entity with trading rights on exchanges.
Registration Requirements: Include capital adequacy and fit criteria.
Code of Conduct: Brokers maintain integrity and professionalism.
Client Agreements: Specify services, fees, and obligations.
Direct Market Access (DMA): Allows clients direct exchange access.
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NISM 3A Securities Intermediaries Compliance
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