NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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SEBI Act Section 11B: Allows directions to intermediaries for investor protection.
SEBI Act Section 11C: Authorizes investigations into detrimental securities transactions.
RBI Act 1934: Governs RBI’s operations and responsibilities.
Banking Regulation Act 1949: Regulates the financial sector under RBI’s oversight.
SRO Conditions: Must meet SEBI (SRO) Regulations, 2004, for recognition.
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