Regulation of Securities Markets

Securities Contract (Regulation ) Act 1956- Introduction, Non applicability, definition, Recognition of Stock Exchange, withdrawal of recognition, Powers of Government, powers of Recognised Stock exchange, clearing Corporation, Powers of SEBI, Licensing of dealers in certain areas, Public issue and listing of securities, contracts in derivatives, conditions for listing, delisting of securities.

Securities and Exchange Board of India Act , 1992- Introduction, Objectives of SEBI, Composition of SEBI, Functions and Powers of SEBI, Registration of Intermediaries, Prohibition of Manipulative and deceptive devices, insider trading etc, Securities Appellant Tribunal( SAT)- Composition, powers, Requirements for Appeal to Tribunal).

Depositories Act, 1996 : Depository System in India; Role & Functions of Depositories; Depository Participants; Admission of Securities; Dematerialization & Re-materialization; Depository Process; Inspection and Penalties;
An Overview of SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009: Introduction, Eligibility norms for public issue, Types of issues, Meaning of draft offer document, letter of offer and Red herring prospectus , Promoters contribution, Underwriting, Issue opening date, Minimum number of share application and application money, Issue of advertisement, Minimum Subscription, Allotment of shares, Reservation on competitive basis.

SEBI (Listing Requirements and Regulations: Listing of securities, Listing procedures, criteria for listing, listing obligations, Additional Obligations, New listing obligations, listing agreement
SEBI (Delisting of Equity Shares) Regulations, 2009: Delisting of Equity Shares; Voluntary Delisting; Exit Opportunity; Compulsory Delisting.

SEBI (Prohibition of Insider Trading) Regulations, 2015: Unpublished price sensitive information (UPSI); Disclosures; Codes of fair disclosure and conduct.
SEBI Investor Protection Measures