REGULATIONS OF SECURITY MARKET

• Introduction, Non applicability, definition,
• Recognition of Stock Exchange, withdrawal of recognition,
• Powers of Government,
• powers of Recognized 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.

• 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).

• 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).
• 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.

• 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

• Unpublishedprice sensitive information (UPSI);
• Disclosures; Codes of fair disclosure and conduct.

• SEBI Investor Protection Measures