NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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SEBI Orders: Can issue general or special orders to regulate securities issuance.
Compliance Monitoring: SEBI ensures intermediaries comply with regulations.
Investor Confidence: SEBI’s actions enhance trust in securities markets.
Regulatory Collaboration: SEBI shares information with other regulators.
SCRA Objective: Regulates securities contracts and stock exchanges.
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NISM 3A Securities Intermediaries Compliance
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