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Table Of Contents

List of Abbreviations
1.1 Introduction
1.2 NEAT System
1.3 Market Types
1.3.1 Normal Market
1.3.2 Odd Lot Market
1.3.3 RETDEBT Market
1.3.4 Auction Market
1.4 Corporate Hierarchy
1.5 Local Database
1.6 Market Phases
1.6.1 Opening
1.6.2 Open Phase
1.6.3 Market Close
1.6.4 Surcon
1.7 Logging On
1.8 Log Off/Exit from the Application
1.9 NEAT Screen
1.10 Invoking an Inquiry Screen
1.10.1 Market Watch
1.10.2 Security Descriptor
1.10.3 Market By Price
1.10.4 Previous Trades
1.10.5 Outstanding Orders
1.10.6 Activity Log
1.10.7 Order Status
1.10.8 Snap Quote
1.10.9 Market Movement
1.10.10 Market Inquiry
1.10.11 Auction Inquiry
1.10.12 Security/Portfolio List
1.10.13 Multiple Index Broadcast and Graph
1.10.14 Online Backup
1.10.15 Basket Trading
1.10.16 Buy Back Trades
1.10.17 Supplementary Functions
1.11 Order Management
1.11.1 Entering Orders
1.11.2 Order Modification
1.11.3 Order Cancellation
1.11.4 Order Matching
1.12 Trade Management
1.12.1 Trade Modification
1.12.2 Trade Cancellation
1.13 Auction
1.13.1 Entering Auction Orders
1.13.2 Auction Order Modification
1.13.3 Auction Order Cancellation
1.13.4 Auction Order Matching
1.14 Limited Physical Market
1.15 RETDEBT Market (RDM)
1.16 Trading Information downloaded to Trading Members
1.17 Internet Broking
1.18 Wireless Application Protocol (WAP)
Model Questions
2.1 Introduction
2.1.1 Transaction Cycle
2.1.2 Settlement Process
2.1.3 Settlement Agencies
2.1.4 Risks in Settlement
2.2 Settlement Cycle
2.4 Securities Settlement
2.5 Funds Settlement
2.6 Shortages Handling
2.7.1 Capital Adequacy Requirements
2.7.2 Margins
2.7.3 Settlement Guarantee
2.7.4 No-delivery Period
2.8 International Securities Identification Number
2.9 Dematerialisation and Electronic Transfer of Securities
2.10 Investor Protection Fund
2.11 Clearing Software – Data and Reports Download
2.11.1 Obligation Reports
2.11.2 Custodial Trade Reports
2.11.3 Deliveries Reports
2.11.4 Receipts Reports
2.11.5 Bad Deliveries Reports
2.11.6 Funds Reports
2.11.7 Auction Reports
2.11.8 Objections Reports
2.11.9 Margin Reports
2.11.10 Securities Reports
2.11.11 Miscellaneous Reports
2.12 File Transfer Protocol
Model questions
3.1 Stock Brokers
3.1.1 Introduction
3.1.2 Membership in NSE
3.2. Sub-Brokers
3.3. Broker-Clients Relations
3.3.1. Know your client
3.3.2. Unique Client Code
3.3.3. Margins from the Clients
3.3.4. Execution of Orders
3.3.5. Accumulation of orders
3.3.6. Contract Note
3.3.7. Payments/Delivery of Securities to the Clients
3.3.8. Brokerage
3.3.9 Segregation of Bank Accounts
3.4. Sub-Broker – Client Relations
3.4.1 Know Your Client
3.4.2. Orders
3.4.3. Purchase/Sale Note
3.4.4. Payments/Delivery of Securities
3.4.5. Sub-brokerage
3.5. Dispute, Arbitration and Appeal
3.6 Code of Advertisement
4.1 Securities Contracts (Regulation) Act, 1956
4.2 Securities Contracts (Regulation) Rules, 1957
4.3 Securities and Exchange Board of India Act, 1992
4.4 SEBI (Stock Brokers & Sub-Brokers) Rules, 1992
4.5 SEBI (Stock Brokers & Sub-Brokers) Regulations, 1992
4.6 SEBI (Insider Trading) Regulations, 1992
4.8 The Depositories Act, 1996
4.9 Indian Contract Act, 1872
4.10 The Companies Act, 1956
4.11 Public Debt Act, 1944
4.12 Income Tax Act, 1961
An Overview of the Indian Securities Market
5.1 Introduction
5.1.1 Market Segments
5.1.2 Products and Participants
5.3 Primary Market
5.4 Secondary Market
5.5 Derivatives Market
5.6 Market Design
5.6.1 Primary Market
5.6.2 Secondary Market
5.6.3 Derivatives Market
5.7 Regulatory Framework
5.8 Research in Securities Market
5.9 Testing and Certification
Fundamental Valuation Concepts
6.1 Elementary Statistical Concepts
6.1.1 Mean
6.1.2 Geometric Mean
6.1.3 Variance
6.1.4 Standard Deviation
6.1.5 Coefficient of Variation
6.1.6 Covariance
6.1.7 Correlation Coefficient
6.1.8 Normal Distribution
6.2 Time Value of Money
6.2.1 Future Value of a Single Cash Flow
6.2.2 Future Value of an Annuity
6.2.3 Present Value of a Single Cash Flow
6.2.4. Present Value of an Annuity
6.3 Understanding Financial Statements
6.3.1 Comparative Financial Statements
6.3.2 Common Size Statements
6.3.3 Ratio Analysis
6.4 Equity Research
6.4.1 Bhav Copy Database
6.4.2 Index Database
6.4.3 Order Book Snapshots Database
6.4.4 Trades Database
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CMDMaug03

CMDMaug03

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Published by Amit Achha

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Published by: Amit Achha on Jul 18, 2011
Copyright:Attribution Non-commercial

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11/29/2012

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