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  • Natio Onal S Stock Excha Ange O F India A Limite ED: Depart NCFM Rtment: SB M - Cours BU-Educatio Se Outlin On E

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    Sushil Mundel
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    This document outlines the Capital Market (Dealers) Module course from NCFM. The course covers an overview of the Indian securities market, trading membership on the NSE including requirements and disciplinary actions, an introduction to trading on the NEAT system including order management and market phases, the clearing and settlement process and key terminologies, the relevant legal framework of SEBI regulations, and fundamental concepts of valuation including time value of money and understanding financial statements.

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    NSE

    Original Title

    Course CMDM9

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    This document outlines the Capital Market (Dealers) Module course from NCFM. The course covers an overview of the Indian securities market, trading membership on the NSE including requirements and disciplinary actions, an introduction to trading on the NEAT system including order management and market phases, the clearing and settlement process and key terminologies, the relevant legal framework of SEBI regulations, and fundamental concepts of valuation including time value of money and understanding financial statements.

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    © All Rights Reserved
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    5 views1 page

    Natio Onal S Stock Excha Ange O F India A Limite ED: Depart NCFM Rtment: SB M - Cours BU-Educatio Se Outlin On E

    Uploaded by

    Sushil Mundel
    This document outlines the Capital Market (Dealers) Module course from NCFM. The course covers an overview of the Indian securities market, trading membership on the NSE including requirements and disciplinary actions, an introduction to trading on the NEAT system including order management and market phases, the clearing and settlement process and key terminologies, the relevant legal framework of SEBI regulations, and fundamental concepts of valuation including time value of money and understanding financial statements.

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    © All Rights Reserved
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    of 1

    NATIO

    ONAL STOCK
    S
    EXCHA
    ANGE OF INDIA
    A LIMITE
    ED
    Depart
    rtment : SB
    BU-Educatio
    on
    NCFM
    M COURS
    SE OUTLINE

    Capitall Market (D
    Dealers) Mo
    odule (CMD
    DM)

    An Overvie
    ew of the In
    ndian Secu
    urities Mark
    ket
    Market seg
    gments, Key
    y indicators of securitie
    es market, Products
    P
    annd participan
    nts, Market
    segments and
    a their pro
    oducts, Refforms in Ind
    dian securities marketss

    Trading Me
    embership
    p
    p, Suspension & expullsion
    Stock broke
    ers, NSE membership,
    m
    , Surrenderr of trading membership
    m
    of membersship, Declaration of de
    efaulter, Autthorised perrsons, Sub--brokers, Brroker-clientss
    relations, Sub-broker-c
    S
    clients relattions, Investtor service cell and arbbitration, Co
    ode of
    advertisement

    Trading
    Introduction
    n,NEAT sys
    stem, Marke
    et types, Tra
    ading system users hieerarchy, Loc
    cal databasse,
    Market pha
    ases, Loggin
    ng on, Log o
    off/exit from
    m the application, Neat screen, Inv
    voking an
    t, Limited pphysical marrket, Block
    inquiry scre
    een, Order manageme
    m
    nt, Trade managemen
    m
    trading sesssion, Retaill debt marke
    et (RDM), Trading
    T
    information dow
    wnloaded to
    o members,
    Internet bro
    oking, Wireless applica
    ation protocol (wap), Co
    omputer to computer liink (ctcl) faccility

    Clearing and Settlem


    ment
    Introduction
    n, Key terminologies ussed in clearring and setttlement proocess, Tran
    nsaction cyccle,
    Settlement agencies, Clearing
    C
    an
    nd settlemen
    nt process, Securities aand funds settlement,
    s
    Shortages handling, Risks
    R
    in settllement, Ris
    sk managem
    ment, Intern ational securities
    identificatio
    on number, Data and re
    eport downlloads

    Legal Fram
    mework
    SEBI (interrmediaries) regulationss, 2008 , SE
    EBI (prohibittion of insideer trading) regulations,
    1992, SEBI (prohibition of fraudullent and unffair trade prractices relaating to, Securities marrket)
    regulationss, 2003, The
    e depositorie
    es act, 1996, Indian co
    ontract act, 1872, Incom
    me tax act,
    1961

    ntal Valuation Concep


    pts
    Fundamen
    Time value
    e of money; Understand
    ding financial statemen
    nts.

    Regd.Offfice:Exchan
    ngePlaza,Ba
    andraKurlaCComplex,Bandra(E),Mu
    umbai400 051Page 1 of 1

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