NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Underwriting Agreements: Specify terms with issuers.
ICDR Transparency: Ensures full disclosure to investors.
Merchant Banker Penalties: Fines or suspension for violations.
Rights Issue Streamlining: Reduces processing time per SEBI.
IPO Application Process: Handled through ASBA mechanism.
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NISM 3A Securities Intermediaries Compliance
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