NISM Series 7 Securities Operations Certification Exam Notes
Page 24 Of 97
Go to:
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54
55
56
57
58
59
60
61
62
63
64
65
66
67
68
69
70
71
72
73
74
75
76
77
78
79
80
81
82
83
84
85
86
87
88
89
90
91
92
93
94
95
96
97
Market Participant Roles: Vary based on trading, clearing, or custodial functions.
SEBI’s Enforcement: Includes penalties for non-compliance.
KYC Simplification: Centralized KYC reduces investor documentation burden.
Client Code Regulations: Prevent unauthorized trade modifications.
Investor Grievance Redressal: Supported by SEBI’s SCORES platform.
Previous
Next
NISM Securities Operations
Free Demo
Buy Premium
Home
Copyright 2025 -
MODELEXAM
®
Developed by
www.realsoftinfoplan.com
MODELEXAM® MODELEXAM® 
www.realsoftinfoplan.com
www.realsoftinfoplan.com
MODELEXAM® www.realsoftinfoplan.com