NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Section 11(5): Directs disgorged amounts to the Investor Protection Fund.
Section 11A: Regulates prospectus and listing requirements.
Section 11B: Allows SEBI to issue directions to protect investors.
Section 11C: Authorizes investigations into securities transactions.
Investor Protection Fund: Utilizes disgorged amounts for investor education and protection.
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