NISM Series 7 Securities Operations Certification Exam Notes

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  • DP Eligibility: Governed by SEBI and depository regulations.
  • Mutual Fund Transactions: Facilitated via AMFI-registered brokers.
  • Margin Funding Risks: Disclosed to clients before availing MTF.
  • IBT Backup: Brokers maintain daily order backups.
  • PMS Fees: Paid every three years to maintain registration.

NISM Securities Operations

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