August 8, 2019 GKmojo

Syllabus for ‘Awareness about Securities Market’ test of Phase I

I. Securities Market

A. Indian Financial System

  • Introduction
  • Structure
  • Finance commission
  • Financial administration
  • Receipts of the Government
  • Expenditures of the Government.

B. Capital markets

  • Primary market
  • Instruments
  • Legal issues and regulations
  • Secondary market
  • Stock exchanges
  • Brokers
  • Trading in stock exchanges
  • Forward trading
  • Stock index
  • Depositories
  • Regulations

C. Bond Market

  • Money market
  • G.sec Market
  • Corporate bond market
  • Bond valuation
  • Duration
  • Sensitivity
  • Risk

D. Foreign Exchange Market

  • Exchange control
  • Fixation of exchange rate
  • Exchange control in India
  • FEMA
  • Foreign exchange transactions of commercial banks in India
  • Currency convertibility
  • Currency forwards, futures and options
  • Trading in foreign exchange market
  • Relationship between money market and foreign exchange market

E. Commodity Market

  • Commodity trading and exchanges

F. International Capital Markets

  • Instruments
  • Guidelines
  • Foreign investment in India and its regulations.

II. Securities Law

  • Relationship between Company Law and securities law
  • Basic concepts related to securities law, like capital, public offer and securities
  • Historical Background of securities law
  • SEBI as a Market regulator, Powers and Functions of SEBI, Quasi legislative powers, executive powers and quasi-judicial powers
  • Regulating the intermediaries and Stock exchanges, Meaning and Type of securities, Securities Contract, Corporatization, Demutualization and regulation of stock exchange, Listing Agreement, Dematerlisation and Rematerlisation
  • Rights and duties of Depository (NSDL AND CSDL) , Depository Participant, Issuer and beneficiary
  • Unpublished Price Sensitive Information(UPSI) , Insider as connected person, Insider as the person having access to UPSI, Trading on the basis of UPSI
  • Mergers Amalgamation and takeovers, Types and legal processes during takeover, Substantial Acquisitions, Exemptions law, Exemption BY SEBI
  • Public offer and disclosure requirements
  • Unfair Trade Practices in the securities market, Securities Market offences, Prohibition of Insider Trading
  • SEBI ICDR Regulations
  • Public Offer requirements
  • Role of SEBI as a Regulator
  • Securities Appellate Tribunal
  • Role of Courts in enforcing securities regulations