The document outlines the key laws, regulations, and compliance topics relevant for securities brokers in India. It includes:
1) The main securities laws governing brokers, such as the Securities and Exchange Board of India Act and the Securities Contracts Regulation Act.
2) Regulations covering stock brokers and sub-brokers, contracts on stock exchanges, and listing requirements.
3) Circulars, rules, and bylaws from the National Stock Exchange, Securities and Exchange Board of India, and Ministry of Finance.
4) Key SEBI regulations addressing prohibited trading practices, insider trading, and portfolio and underwriter oversight.
The document outlines the key laws, regulations, and compliance topics relevant for securities brokers in India. It includes:
1) The main securities laws governing brokers, such as the Securities and Exchange Board of India Act and the Securities Contracts Regulation Act.
2) Regulations covering stock brokers and sub-brokers, contracts on stock exchanges, and listing requirements.
3) Circulars, rules, and bylaws from the National Stock Exchange, Securities and Exchange Board of India, and Ministry of Finance.
4) Key SEBI regulations addressing prohibited trading practices, insider trading, and portfolio and underwriter oversight.
The document outlines the key laws, regulations, and compliance topics relevant for securities brokers in India. It includes:
1) The main securities laws governing brokers, such as the Securities and Exchange Board of India Act and the Securities Contracts Regulation Act.
2) Regulations covering stock brokers and sub-brokers, contracts on stock exchanges, and listing requirements.
3) Circulars, rules, and bylaws from the National Stock Exchange, Securities and Exchange Board of India, and Ministry of Finance.
4) Key SEBI regulations addressing prohibited trading practices, insider trading, and portfolio and underwriter oversight.
The document outlines the key laws, regulations, and compliance topics relevant for securities brokers in India. It includes:
1) The main securities laws governing brokers, such as the Securities and Exchange Board of India Act and the Securities Contracts Regulation Act.
2) Regulations covering stock brokers and sub-brokers, contracts on stock exchanges, and listing requirements.
3) Circulars, rules, and bylaws from the National Stock Exchange, Securities and Exchange Board of India, and Ministry of Finance.
4) Key SEBI regulations addressing prohibited trading practices, insider trading, and portfolio and underwriter oversight.
The Securities and Exchange Board of India Act, 1992 …………… 10 Marks Definitions, Establishment of SEBI, Powers and functions of the Board, Penalties and adjudication, Establishment, jurisdiction, authority and procedure of appellate tribunal.
The Securities Contract (Regulations) Act, 1956 …………………… 10 Marks
The Securities Contract (Regulation) Rules, 1957 …………………….…..…. 10
Marks Definitions, Contracts between members of recognized stock exchange, SEBI nominees on the governing bodies of recognized stock exchange, Obligation of the governing body to take disciplinary action against a member if so directed by SEBI, Books of account and other documents to be maintained and preserved by every member of a recognized stock exchange, Audit of accounts of members, manner of inquiry, Withdrawal of recognition, Submission of annual report, periodical returns, manner of publication of bye-laws for criticism, requirements with respect to the listing of securities on a recognized stock exchange, Requirements with respect to the listing of units or any other instrument of a collective investment scheme on a recognized stock exchange. SEBI (Stock Brokers and Sub Brokers) Regulations, 1992 .………. 10 Marks
Circulars, Rules, Regulations and Bye-laws ……………………….… 40 Marks
NSE, NSCCL, SEBI and MoF circulars as enforced from time to time, NSE Rules, Regulations and Byelaws, NSCCL Rules, Regulations and Byelaws e SEBI Regulations …………………………………………………........ 20 Marks SEBI (Prohibition of Fraudulent and Unfair Trade Practices relating to Securities Market) Regulations, 2003, SEBI (Prohibition of Insider Trading) Regulations, 1992, SEBI (Portfolio Managers) Regulations, 1993, SEBI (Underwriters) Regulations, 1993, SEBI (Ombudsman) Regulations, 2003.
