NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Depository Participants: Agents of depositories interacting with investors, managing portfolios, and facilitating securities transactions.
Stock Exchanges: Bodies regulating the buying, selling, or dealing in securities, critical to the secondary market.
Clearing Corporations: Entities handling clearing and settlement of trades on recognized stock exchanges.
Social Stock Exchange: A SEBI-regulated segment for registering and listing securities of Not-for-Profit Organizations (NPOs).
Merchant Bankers: Assist companies in issuing securities, advising on timing, underwriters, and regulatory interactions.
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NISM 3A Securities Intermediaries Compliance
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