NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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SAT Appeals: SEBI rulings can be appealed to the Securities Appellate Tribunal.
Supreme Court Appeals: SAT rulings can be challenged in the Supreme Court.
Prohibition of Manipulative Devices: SEBI prohibits deceptive practices in securities.
Insider Trading Prohibition: SEBI regulates to prevent insider trading.
Takeover Regulation: SEBI oversees substantial share acquisitions and takeovers.
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NISM 3A Securities Intermediaries Compliance
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