NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Penalties for Violations: Fines, suspension, or disgorgement of profits.
Market Manipulation: Prohibited to maintain fair market operations.
Disclosure Misrepresentation: False statements in offer documents are prohibited.
Investigation Scope: Covers intermediaries, issuers, and market participants.
Fraud Definition: Includes acts to deceive or induce trading.
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NISM 3A Securities Intermediaries Compliance
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