NISM Series 7 Securities Operations Certification Exam Notes
Page 76 Of 97
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Arbitration Fees: Borne by MIIs, recoverable from intermediaries.
Investor Awareness: Brokers must display grievance mechanisms.
Complaint Types: Include unauthorized trades and account issues.
ODR Allocation: Uses round-robin system for dispute assignment.
Ex-Parte Orders: Issued if parties fail to respond in arbitration.
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