NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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SEBI Act Section 11(2A): Allows inspection of listed companies for insider trading or unfair practices.
SEBI Act Section 11(3): Grants SEBI civil court powers for specific matters like document inspection.
SEBI Act Section 11(4): Permits actions like trading suspension or asset attachment.
SEBI Act Section 11(5): Credits disgorged amounts to Investor Protection and Education Fund.
SEBI Act Section 11A: Regulates prospectus issuance and listing requirements.
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