NISM Series 7 Securities Operations Certification Exam Notes
Page 39 Of 97
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Collateral Management: Includes securities, cash, and bank guarantees.
Client Margin Reporting: Brokers report shortfalls to exchanges on T+5.
Additional Margins: Imposed on high-volatility stocks or specific conditions.
Pre-Trade Risk Controls: Prevent aberrant orders or uncontrolled trades.
Risk Disclosure: Informs clients of potential trading risks.
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