NISM Series 7 Securities Operations Certification Exam Notes
Page 36 Of 97
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Client Data Privacy: Brokers must protect client information.
Trade Settlement: Ensures timely delivery of securities/funds.
Broker Training: Staff must be adequately trained for client service.
Regulatory Reporting: Includes daily and periodic submissions to exchanges.
Client Margin Reporting: Brokers report margin shortfalls to exchanges.
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