NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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SEBI Establishment: Non-statutory in 1988, statutory under SEBI Act, 1992.
SEBI Functions: Regulate stock exchanges, intermediaries, and prohibit unfair practices.
Investor Protection: SEBI’s primary goal is safeguarding investor interests.
Market Regulation: Ensures transparency and fairness in securities transactions.
Intermediary Registration: SEBI registers brokers, DPs, merchant bankers, and CRAs.
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