NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Penal Framework: Outlines penalties for non-compliance with SEBI regulations.
Inquiry Powers: SEBI can conduct inquiries into intermediary activities.
Stock Exchange Regulation: SEBI oversees stock exchange operations.
Mutual Fund Regulation: SEBI registers and regulates mutual funds.
Venture Capital Funds: SEBI oversees their registration and operations.
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NISM 3A Securities Intermediaries Compliance
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