Securities Law

Unit 1 — Securities Contract (Regulation) Act , 1956:

1.1 Objectives and Preamble of Securities Contract (Regulation) Act , 1956 · 1.2 Power of Central Government and SEBI in case of recognition and suspension of Stock Exchange, · 1.3 Contract of Securities, · 1.4 Contract of Derivatives, · 1.5 Requirement of listing of securities,

Unit 2 — Securities Exchange Board of India Act, 1992:

2.1 Need and objectives of the SEBI Act, · 2.2 Constitution of the SEBI, · 2.3 Power and function of the SEBI, · 2.4 Securities Appellate Tribunal and its procedure.

• SEBI — formation of SEBI Board, role of SEBI (Banking Companies and NBFC's)

Unit 3 — Depositories Act, 1996:

3.1 Definitions, Aims and Objectives · 3.2 Setting up of depository, · 3.3 Role and functions of depository, · 3.4 Depository participants · 3.5 Inspection and penalties, Internal audit and concurrent audit of depository participants · 3.6 Overview of depository system in India.

Unit 4 — Capital Market:

4.1 Capital Market instrument and Rating · 4.2 Capital Market intermediaries, · 4.3 Secondary Market Institutions, · 4.4 Mutual funds, · 4.5 Venture Capital, · 4.6 Collective Investment Schemes, · 4.7 Buy- Back of Securities.

• Indian Capital Market — Features and Growth

Unit 5 — Issue Management and Compliances:

5.1 Concept and Method of Capital, · 5.2 Resource mobilisation and International Capital Market, · 5.3 Indian Depository Receipts.

• Prospectus & allotment of securities