NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Securities Definition: Includes shares, bonds, derivatives, and other instruments.
Stock Exchange Recognition: Requires Central Government approval under SCRA.
Periodical Returns: Stock exchanges must submit returns to SEBI.
Contracts in Securities: Must comply with SCRA provisions for validity.
Options in Securities: Regulated to prevent speculative trading.
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NISM 3A Securities Intermediaries Compliance
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