NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Trading Platforms: Recognized exchanges provide regulated trading platforms.
Member Conduct: Governed by SCRA and exchange bye-laws.
SCRA Penalties: Include fines or imprisonment for violations.
Exchange Rules: Ensure fair trading and dispute resolution.
SCRR Compliance: Members adhere to rules for market participation.
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NISM 3A Securities Intermediaries Compliance
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