NISM Series 7 Securities Operations Certification Exam Notes
Page 49 Of 97
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Regulatory Reporting: Includes daily margin and collateral reports.
Client Margin Funding: Regulated to prevent misuse of funds.
Clearing Corporation Role: Acts as counterparty to all trades via novation.
Novation: Clearing corporation becomes legal counterparty to trades.
Clearing Members: Ensure funds/securities availability for settlement.
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