NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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SEBI Powers: Can issue directions to stop fraudulent practices.
Front-Running: Trading based on advance knowledge of client orders.
Pump-and-Dump: Artificially inflating stock prices to sell at a profit.
Spoofing: Placing fake orders to manipulate market prices.
Investigation Triggers: Complaints, market surveillance, or SEBI discretion.
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NISM 3A Securities Intermediaries Compliance
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