NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Government Securities: Included in SCRA’s securities definition.
SEBI Delegation: Exercises SCRA powers delegated by the Central Government.
Member Obligations: Include maintaining books and submitting returns.
Listing Requirements: SCRR specifies conditions for securities listing.
Trading Regulation: SCRA ensures orderly securities trading.
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NISM 3A Securities Intermediaries Compliance
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