NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Contract Validity: Securities contracts must meet SCRA requirements.
Derivative Regulation: Ensures derivatives are traded on recognized platforms.
Investor Protection: SCRA safeguards investors through regulated trading.
Exchange Supervision: Stock exchanges oversee member compliance.
Record Keeping: Members maintain transaction records for audits.
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NISM 3A Securities Intermediaries Compliance
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