Copyright © 2009 by National Stock Exchange of India Ltd. (NSE)Exchange Plaza, Bandra Kurla Complex,Bandra (East), Mumbai 400 051 INDIAAll content included in this book, such as text, graphics, logos, images, data compilationetc. are the property of NSE. This book or any part thereof should not be copied,reproduced, duplicated, sold, resold or exploited for any commercial purposes.Furthermore, the book in its entirety or any part cannot be stored in a retrieval system ortransmitted in any form or by any means, electronic, mechanical, photocopying, recordingor otherwise.
1
CONTENTS
1.
INVESTMENT BASICS
.......................................................................................................6
What is Investment?
...................................................................................................................6
Why should one invest?
.............................................................................................................6
When to start Investing?
...........................................................................................................6
What care should one take while investing?
......................................................................7
What is meant by Interest?
......................................................................................................7
What factors determine interest rates?
...............................................................................7
What are various options available for investment?
......................................................8
What are various Short-term financial options available for investment?
.............8
What are various Long-term financial options available for investment?
..............9
What is meant by a Stock Exchange?
................................................................................10
What is an ‘Equity’/Share?
......................................................................................................10
What is a ‘Debt Instrument’?
.................................................................................................11
What is a Derivative?
................................................................................................................11
What is a Mutual Fund?
............................................................................................................11
What is an Index?
.......................................................................................................................12
What is a Depository?
...............................................................................................................12
What is Dematerialization?
.....................................................................................................12
2.
SECURITIES
...........................................................................................................................13
What is meant by ‘Securities’?
..............................................................................................13
What is the function of Securities Market?
.......................................................................13
Which are the securities one can invest in?
.....................................................................13
2.1
R
EGULATOR
................................................................................................................................14
Why does Securities Market need Regulators?
...............................................................14
Who regulates the Securities Market?
................................................................................14
What is SEBI and what is its role?
.......................................................................................14
2.2
P
ARTICIPANTS
............................................................................................................................15
Who are the participants in the Securities Market?
......................................................15
Is it necessary to transact through an intermediary?
..................................................15
What are the segments of Securities Market?
................................................................15
3.
PRIMARY MARKET
............................................................................................................16
What is the role of the ‘Primary Market’?
.........................................................................16
What is meant by Face Value of a share/debenture?
..................................................16
What do you mean by the term Premium and Discount in a Security Market?
.16
3.1
I
SSUE OF
S
HARES
......................................................................................................................17
Why do companies need to issue shares to the public?
.............................................17
What are the different kinds of issues?
.............................................................................17
What is meant by Issue price?
..............................................................................................18
What is meant by Market Capitalisation?
..........................................................................18
What is the difference between public issue and private placement?
...................19
What is an Initial Public Offer (IPO)?
..................................................................................19
2
Who decides the price of an issue?
.....................................................................................19
What does ‘price discovery through Book Building Process’ mean?
......................19
What is the main difference between offer of shares through book building andoffer of shares through normal public issue?
..................................................................20
What is Cut-Off Price?
...............................................................................................................20
What is the floor price in case of book building?
...........................................................20
What is a Price Band in a book built IPO?
........................................................................20
Who decides the Price Band?
.................................................................................................21
What is minimum number of days for which a bid should remain open duringbook building?
..............................................................................................................................21
Can open outcry system be used for book building?
...................................................21
Can the individual investor use the book building facility to make anapplication?
...................................................................................................................................21
How does one know if shares are allotted in an IPO/offer for sale? What is thetimeframe for getting refund if shares not allotted?
....................................................21
How long does it take to get the shares listed after issue?
.......................................21
What is the role of a ‘Registrar’ to an issue?
...................................................................22
Does NSE provide any facility for IPO?
..............................................................................22
What is a Prospectus?
...............................................................................................................22
What does ‘Draft Offer document’ mean?
........................................................................23
What is an ‘Abridged Prospectus’?
.......................................................................................23
Who prepares the ‘Prospectus’/‘Offer Documents’?
......................................................23
What does one mean by ‘Lock-in’?
......................................................................................24
What is meant by ‘Listing of Securities’?
..........................................................................24
What is a ‘Listing Agreement’?
..............................................................................................24
What does ‘Delisting of securities’ mean?
........................................................................24
What is SEBI’s Role in an Issue?
..........................................................................................24
Does it mean that SEBI recommends an issue?
............................................................25
Does SEBI tag make one’s money safe?
...........................................................................25
3.2
F
OREIGN
C
APITAL
I
SSUANCE
..................................................................................................25
Can companies in India raise foreign currency resources?
.......................................25
What is an American Depository Receipt?
........................................................................25
What is an ADS?
.........................................................................................................................26
What is meant by Global Depository Receipts?
..............................................................26
4.
SECONDARY MARKET
.....................................................................................................27
4.1
I
NTRODUCTION
...........................................................................................................................27
What is meant by Secondary market?
...............................................................................27
What is the role of the Secondary Market?
......................................................................27
What is the difference between the Primary Market and the Secondary Market?
...........................................................................................................................................................27
4.1.1
Stock Exchange
.........................................................................................................28
What is the role of a Stock Exchange in buying and selling shares?
.....................28
What is Demutualisation of stock exchanges?
................................................................28
How is a demutualised exchange different from a mutual exchange?
..................28
Currently are there any demutualised stock exchanges in India?
..........................28
4.1.2 Stock Trading
..................................................................................................................29
What is Screen Based Trading?
............................................................................................29
What is NEAT?
..............................................................................................................................29
How to place orders with the broker?
................................................................................29
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INVESTMENT BASICS
SECURITIES
PRIMARY MARKET
SECONDARY MARKET
Stock Exchange
Stock Trading
PRODUCTS IN THE SECONDARY MARKETS
DERIVATIVES
DEPOSITORY
MUTUAL FUNDS
MISCELLANEOUSCONCEPTS & MODES OF ANALYSIS
RATIO ANALYSIS
Best document book of National Stock Exchange of india NSE BSE
SECURITIES
PRIMARY MARKET
SECONDARY MARKET
Stock Exchange
Stock Trading
PRODUCTS IN THE SECONDARY MARKETS
DERIVATIVES
DEPOSITORY
MUTUAL FUNDS
MISCELLANEOUSCONCEPTS & MODES OF ANALYSIS
RATIO ANALYSIS
Best document book of National Stock Exchange of india NSE BSE
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