NISM Series 7 Securities Operations Certification Exam Notes
Page 26 Of 97
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Contract Note: Legal record of transactions issued by brokers.
Clearing and Settlement: Post-trade processes managed by clearing corporations.
Client Onboarding: Involves KYC, risk disclosure, and account setup.
KYC Process: Verifies client identity using Aadhaar or other documents.
Running Account Authorization: Allows brokers to retain client funds/securities.
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