NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Algorithmic Trading: Requires SEBI and exchange approval.
Margin Trading: Brokers provide funds for client trades with limits.
Authorised Persons: Agents providing trading platform access.
Underwriting by Brokers: Permitted with SEBI approval.
Portfolio Managers: Regulated under SEBI (Portfolio Managers) Regulations, 2020.
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NISM 3A Securities Intermediaries Compliance
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