NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
Page 44 Of 232
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Contract Notes: Members issue notes for securities transactions.
Derivative Contracts: Valid if traded and settled on recognized exchanges.
Zero Coupon Instruments: Declared as securities for Social Stock Exchange.
Stock Exchange Powers: Can make bye-laws for trading and member conduct.
SCRA Section 18A: Validates derivative contracts traded on exchanges.
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NISM 3A Securities Intermediaries Compliance
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