NISM-Series-XI: Equity Sales Certification Examination

I. Overview of Indian Securities Market

A. Introduction

B. Market Regulators

C. Market Segments

D. Market Participants

E. Types of Investors

II. Regulatory Framework

A. Securities Contracts (Regulation) Act, 1956

B. Securities Contracts (Regulation) Rules, 1957

C. Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2012

D. Securities and Exchange Board of India Act, 1992

E. The Depositories Act, 1996

F. The Companies Act, 1956

G. Prevention of Money Laundering Act, 2002

H. SEBI (Stock Brokers & Sub-brokers) Regulations, 1992

I. SEBI (Prohibition of Insider Trading) Regulations, 1992

J. SEBI (Prohibition of Fraudulent and Unfair Trade Practices relating to Securities

   Markets) Regulation, 2003

III. Primary Market

A. Introduction to Primary Market

B. Issue of Shares

C. Public Issue

IV. Secondary Market

A. Introduction to Secondary Market

B. Functioning of the Secondary Market

C. Market Phases

V. Understanding Market Indicators

A. Index and its Significance

B. Types of Indices based on Calculation Methodology

C. Major Indices in India

D. Impact cost – A Measure of Market Liquidity

E. Risk and Beta

F. Market Capitalization Ratio

G. Turnover Ratio

H. Fundamental Analysis

I. Technical Analysis

VI. Trading and Risk Management

A. Trading Systems in India

B. Orders

C. Trade Life Cycle

D. Mechanism of Circuit Breakers

E. Transaction Charges

F. Capital Adequacy Requirements of Trading Members

G. Risk Management System

VII. Clearing and Settlement

A. Types of Accounts

B. Clearing Process

VIII. Market Surveillance

A. Introduction to Market Surveillance

B. Market Surveillance Mechanism (by Exchanges and by SEBI)

IX. Client Management

A. Introduction to Client Management

B. Types of Risks

C. Risk Profiling of Investors

D. Financial Planning

E. Product Suitability

F. Review of Client’s Portfolio

G. Client Account

H. Taxation

I. Investor Grievance Mechanism


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