NISM Series 7 Securities Operations Certification Exam Notes
Page 31 Of 97
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Electronic Trading: Facilitates faster and transparent trade execution.
Regulatory Compliance: Brokers must adhere to SEBI and exchange rules.
Trade Reporting: Brokers report trades to exchanges and clients.
Risk Disclosure Documents (RDD): Inform clients of market risks.
Aadhaar Authentication: Used for KYC by SEBI-registered intermediaries.
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