NISM Series 7 Securities Operations Certification Exam Notes

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  • Technology Integration: Optimizes broking operations via IT systems.
  • Order Book: Displays buy/sell orders for price discovery.
  • Pre-Trade Checks: Prevent aberrant orders or uncontrolled trades.
  • Post-Trade Processing: Involves trade allocation and settlement.
  • Client Registration: Requires risk disclosure and agreement signing.

NISM Securities Operations

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