Securities Market Awareness PDF

Securities Market Awareness PDF | SEBI Officers Grade A Free e-Books (PDF)

Exams Updates

Securities Market Awareness PDF: Dear readers, As we all know that SEBI has started it’s recruitment process for the post of Grade A officers. Securities and Exchange Board of India (SEBI), is a statutory regulatory body established by an Act of Parliament, to protect the interests of investors in securities, to promote the development of and to regulate the securities market. SEBI invites applications from Indian citizens for the post of Officer Grade A (Assistant Manager) for the General Stream, Legal Stream, Information Technology Stream and Engineering Stream. SEBI reserves the right to fill up the posts or not to fill up the posts at all.  The Securities and Exchange Board of India (SEBI) is the regulator for the securities market in India. It was established in the year 1988 and given statutory powers on 30 January 1992 through the SEBI Act, 1992. Securities and exchange Board of India (SEBI) was first established in the year 1988 AQF as a non-statutory body for regulating the, securities market. It became an autonomous body by The Government of India on 12 May 1992 and given statutory powers in 1992 with SEBI Act 1992 being passed by the Indian Parliament. SEBI has its headquarters at the business district of Bandra Kurla Complex in Mumbai, and has Northern, Eastern, Southern and Western Regional Offices in New Delhi, Kolkata, Chennai and Ahmedabad respectively. It has opened local offices at Jaipur and Bangalore and is planning to open offices at Guwahati, Bhubaneshwar, Patna, Kochi and Chandigarh in Financial Year 2013 – 2014.

Controller of Capital Issues was the regulatory authority before SEBI came into existence; it derived authority from the Capital Issues (Control) Act, 1947. Initially SEBI was a non statutory body without any statutory power. However, in 1992, the SEBI was given additional statutory power by the Government of India through an amendment to the Securities and Exchange Board of India Act, 1992. In April 1988 the SEBI was constituted as the regulator of capital markets in India under a resolution of the Government of India. The SEBI is managed by its members, which consists of following: The chairman who is nominated by Union Government of India.Two members, i.e., Officers from Union Finance Ministry. One member from the Reserve Bank of India. The remaining five members are nominated by Union Government of India, out of them at least three shall be whole-time members. After amendment of 1999, collective investment scheme brought under SEBI except NIDHI, chit fund and cooperatives.

SEBI Officers Recruitment 2018 Important Dates:

Detailed Notification- 15/09/2018

Online Application Starting Date- 15/09/2018

Age as on 31 August 2018 (30 Years): The candidate must have been born on or after September 01, 1988.  Relaxation in age limits will be given as per applicable rules.

Mode of Selection: Selection will be carried out in three phases. Phase I will be an on-line examination consisting of Multiple Choice Questions on General Awareness, English Language, Quantitative Aptitude, Test of Reasoning and Awareness of Securities Market. Candidates shortlisted in Phase I will appear for Phase II, which will also be an on-line examination consisting of three papers. Candidates shortlisted in Phase II will be called for an Interview.

Free e-Book (Securities Market)⇓⇓⇓⇓⇓

Securities markets
1. Indian Financial system – introduction – structure – finance commission – financial administration – receipts of the Government – Expenditures of the Government.
2. Capital markets – primary market – instruments – legal issues and regulations – secondary market – stock exchanges – brokers – trading in stock exchanges – forward trading – stock index – depositories – regulations
3. Bond Market- Money market, G.sec Market, Corporate bond market, Bond valuation, Duration, sensitivity, risk
4. 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..
5. Commodity market, commodity trading and exchanges
6. International capital markets – instruments – Guidelines – foreign investment in India and its regulations.
Securities Law:
1. Relationship between Company Law and securities law
2. Basic concepts related to securities law, like capital, public offer and securities
3. Historical Background of securities law
4. SEBI as a Market regulator, Powers and Functions of SEBI, Quasi legislative powers, executive powers and quasi-judicial powers
5. 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
6. Rights and duties of Depository (NSDL AND CSDL) , Depository Participant, Issuer and beneficiary
7. Unpublished Price Sensitive Information(UPSI) , Insider as connected person, Insider as the person having access to UPSI, Trading on the basis of UPSI
8. Mergers Amalgamation and takeovers, Types and legal processes during takeover, Substantial Acquisitions, Exemptions by law, Exemption BY SEBI
9. Public offer and disclosure requirements
10. Unfair Trade Practices in the securities market, Securities Market offences, Prohibition of Insider Trading
11. SEBI ICDR Regulations
12. Public Offer requirements
13. Role of SEBI as a Regulator
14. Securities Appellate Tribunal
15. Role of Courts in enforcing securities regulations

Important Books for SEBI Exam

Indian Financial Management- Click Here

Capital Markets & Securities Law- Click Here

An Introduction to Bond Markets (Securities Institute)- Click Here

Financial Markets and Institutions- Click Here

Securities Markets Foundation- Click Here

Free e-Book (Securities Market)- Click Here

SEBI Officers Grade A Notification

SEBI Officers Grade A Online Apply

SEBI Officers Grade A Syllabus