NISM Series 12 Securities Markets Foundation Certification Exam Notes
Page 5 Of 93
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Authorized Persons: Authorized persons extend broker services to a wider investor base, acting as agents.
Clearing Members: Clearing members settle trades by ensuring delivery of securities and funds.
Bankers to an Issue: Bankers collect applications and funds during public issues, transferring them to issuers.
Registrars & Share Transfer Agents: RTAs maintain investor records and update ownership changes.
Depository Participants: DPs enable investors to hold and trade securities in dematerialized form.
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