Time: 3 Hours; Marks: 60

Chapter-1: An Overview of the Indian Securities Market

  • 1.1 Market Segments.
  • 1.2 Key Indicators Of Securities Market.
  • 1.3 Products and Participants.
  • 1.4 Market Segments and their Products.
  • 1.5 Reforms in Indian Securities Markets.

Chapter-2: Trading Membership

  • 2.1 Stock Brokers.
  • 2.2 NSE Membership.
  • 2.3 Surrender of Trading Membership.
  • 2.4 Suspension & Expulsion of Membership.
  • 2.5 Declaration of Defaulter.
  • 2.6 Authorised Persons.
  • 2.7 Sub-Brokers.
  • 2.8 Broker-Clients Relations.
  • 2.9 Sub-Broker-Clients Relations.
  • 2.10 Investor Service Cell And Arbitration.
  • 2.11 Code of Advertisement.

Chapter-3: Trading

  • 3.1 Introduction.
  • 3.2 Neat System.
  • 3.3 Market Types.
  • 3.4 Trading System Users Hierarchy.
  • 3.5 Local Database.
  • 3.6 Market Phases.
  • 3.7 Logging On.
  • 3.8 Log Off/Exit from the Application.
  • 3.9 NEAT Screen.
  • 3.10 Invoking an inquiry Screen.
  • 3.11 Order Management.
  • 3.12 Trade Management.
  • 3.13 Auction.
  • 3.14 Limited Physical Market.
  • 3.15 Block Trading Session.
  • 3.16 Retail Debt Market (RDM).
  • 3.17 Trading Information downloaded to Members.
  • 3.18 Internet Broking.
  • 3.19 Co-location.
  • 3.20 Wireless Application Protocol (WAP).

Chapter-4: Clearing, Settlement and Risk Management

  • 4.1 Introduction.
  • 4.2 Key Terminologies used in Clearing and Settlement Process.
  • 4.3 Transaction Cycle. 4.4 Settlement Agencies.
  • 4.5 Clearing and Settlement Process.
  • 4.6 Securities and Funds Settlement.
  • 4.7 Shortages Handling.
  • 4.8 Risks in Settlement.
  • 4.9 Risk Management.
  • 4.10 International Securities Identification Number.
  • 4.11 Data and Report Downloads.

Chapter-5: Legal Framework

  • 5.1 SEBI (Intermediaries) Regulations, 2008.
  • 5.2 SEBI (Prohibition of Insider Trading) Regulations, 1992.
  • 5.3 SEBI (Prohibition of Fraudulent And Unfair Trade Practices Relating to Securities Market)
  • 5.4 Regulations, 2003.
  • 5.5 The Depositories Act, 1996.
  • 5.6 Indian Contract Act, 1872.
  • 5.7 Income Tax Act, 1961.

Chapter-6: Fundamental Valuation Concepts

  • 6.1 Time value of Money.
  • 6.2 Understanding Financial Statements.