NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Securities Listing: Governed by SCRR for transparency.
Contract Notes Format: Specified under SCRR for transaction clarity.
Exchange Inspections: Ensure member compliance with SCRA.
SCRA Objectives: Promote market integrity and investor confidence.
Derivative Trading: Regulated to prevent market manipulation.
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NISM 3A Securities Intermediaries Compliance
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