NISM Series 12 Securities Markets Foundation Certification Exam Notes
Page 7 Of 93
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SEBI Role: SEBI, under the SEBI Act, 1992, regulates securities markets, protecting investors and ensuring market growth.
SEBI Functions: SEBI oversees stock exchanges, intermediaries, and capital issuances, enforcing compliance and transparency.
Stock Exchange Regulation: SEBI regulates stock exchanges, requiring periodic reports and approval of bye-laws.
Primary Market Oversight: SEBI’s ICDR Regulations, 2018, govern public and rights issues, ensuring proper disclosures.
Surveillance Mechanisms: SEBI monitors intermediaries and stock exchanges to prevent unfair practices like insider trading.
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