n NISM Certifications
NSM General NISM
Medium

Which of the following complaints can the exchange address against a trading member?

Practice question from NISM Series I - Mock Test 4 — bank. The correct answer is highlighted below with a full explanation.

Options

  1. A

    Claims for notional loss

  2. B

    Private dealings of sub-brokers

  3. Non-receipt of funds/securities

    Correct answer

  4. D

    Cases under arbitration

A full explanation for this question is being written. In the meantime, the correct answer is highlighted above.

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