NISM Series 7 Securities Operations Certification Exam Notes
Page 16 Of 97
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Prevention of Money Laundering Act (PMLA): Defines money laundering and penalties.
Insider Trading: Prohibited under SEBI’s PIT Regulations to ensure fairness.
Unpublished Price Sensitive Information (UPSI): Information affecting security prices.
Dabba Trading: Illegal off-exchange trading, prohibited under SCRA.
Client Code Modification: Regulated to prevent misuse in trading.
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