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Securities Laws and Market Operations  
Published by Vijay Nicole Imprints Private Limited
Publication Date:  Available in all formats
ISBN: 9789393665706

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Description

Table of contents

Biographical note

Designed to address the requirements of undergraduate students of commerce and management, this book provides a thorough introduction to Securities Laws, the transactions involved and the associated market operations.

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Description

Designed to address the requirements of undergraduate students of commerce and management, this book provides a thorough introduction to Securities Laws, the transactions involved and the associated market operations.

Table of contents
  • Cover
  • Halftitle Page
  • Title Page
  • Copyright Page
  • Dedication
  • CONTENTS
  • Preface
  • PART I: INTRODUCTION
    • Chapter 1: Capital Market
      • Meaning
      • Money Market
      • Characteristics
      • Functions
      • Indian Capital Market — Evolution and Growth
      • Constituents of Indian Capital Market
      • New Financial Institutions
      • Measures of Investor Protection
      • SCRA
      • Review Questions
  • PART II: CAPITAL MARKETS AND REGULATATORY FRAMEWORK
    • Chapter 2: Regulation of Indian Capital Markets
      • Genesis
      • Need for Regulation
      • The Regulatory Framework
      • Committees on Regulatory Framework
      • Review Questions
    • Chapter 3: SEBI — Functions and Working
      • Genesis
      • Features of the SEBI Bill
      • Objectives
      • Management
      • Powers and Functions
      • Regulatory: Role
      • Role and Relevance
      • Review Questions
    • Chapter 4: Securities Contracts (Regulation) Act, 1956
      • Genesis
      • Important Provisions
      • Review Questions
    • Chapter 5: New Issues Market – SEBI Guidelines
      • SEBI Guidelines for Listed and Unlisted Companies
      • Review Questions
    • Chapter 6: Disclosure and Investor Protection–SEBI Guidelines
      • Loss of Confidence of Small Investor—Causes
      • Rights of Investors
      • Safeguards for Investors
      • Ombudsman
      • Review Questions
  • PART III: STOCK MARKET
    • Chapter 7: Primary Market Versus Secondary Market
      • NIM and Secondary Markets—An Interface
      • Services of NIM
      • NIM Vs. Secondary Market
      • Review Questions
    • Chapter 8: Methods of New Issue
      • Methods of Marketing Securities
      • Stock Option or Employees Stock Option Scheme (ESOP)
      • Bought-out Deals Vs. Private Placements
      • Review Questions
    • Chapter 9: Intermediaries in New Issues Market
      • Merchant Bankers/Lead Managers
      • Underwriters
      • Bankers
      • Brokers
      • Registrars and Share Transfer Agents
      • Debenture Trustees
      • Review Questions
  • PART IV: STOCK EXCHANGES
    • Chapter 10: Stock Exchanges – An Overview
      • History of Stock Exchanges
      • Functions/ Services/ Features/ Role
      • Stock Exchange and Commodity Exchange Distinguished
      • Stock Exchange Traders
      • Weaknesses
      • Regulation of Stock Exchanges
      • Mechanics of Settlement
      • Depository
      • Stock Trading System
      • Specialists
      • Review Questions
    • Chapter 11: Listing of Securities
      • Security Listing
      • Security
      • Stock Exchange
      • Recognized Stock Exchange
      • Legal Provisions
      • Steps Involved in Listing of Corporate Securities
      • Legal Significance
      • Refusal of Listing
      • SEBI Powers
      • Listing and Corporate Governance
      • Particulars to be Furnished
      • Listing Agreement
      • Stock Exchange Powers
      • Listing—Benefits
      • Consequences of Non-listing
      • New Entry Norms for Unlisted Companies
      • Listing—Suspension/Withdrawal
      • Delisting of Securities
      • Compulsory Delisting
      • Voluntary Delisting
      • Norms for Delisting
      • Delisting Procedures
      • Review Questions
    • Chapter 12: Stock Market Trading Mechanism
      • Jobbers and Brokers
      • Stock Exchange Dealings
      • Speculative Dealings
      • Share Prices — Factors
      • Regulating Speculation
      • The Securities Contracts (Regulation) Act
      • Margin Trading
      • Trading of Securities – Steps
      • Margins
      • Badla System
      • Review Questions
    • Chapter 13: Stock Market Index
      • Meaning
      • Features
      • BSE Index
      • S&P CNX NIFTY Vs. BSE Sensitive Index
      • Dow Jones Indices
      • NASDAQ Stock Market Indices
      • Other Index Descriptions
      • S&P 500 INDEX
      • Hang Seng Index
      • DAX Index
      • Straits: Times Index
      • KOSPI
      • FTSE
      • MSCI (Morgan Stanley Capital India Index Services Ltd (IISL)
      • Review Questions
  • PART V: OVER THE COUNTER EXCHANGE OF INDIA
    • Chapter 14: Over the Counter Exchange of India (OTCEI)
      • Genesis
      • OTCEI Vs. Other Stock Exchanges
      • ‘Over-the-Counter’
      • Need and Objectives
      • Features
      • Benefits
      • Securities Traded
      • Players
      • Members and Dealers
      • Sponsorship
      • Registrars and Custodians
      • Monitoring Agencies
      • Trading Mechanism
      • Slow Growth of OTCEI – Causes
      • Working of NASDAQ
      • OTCEI MOU with NASSCOM
      • Review Questions
    • Chapter 15: Indian Stock Exchanges
      • The Bombay Stock Exchange (BSE)
      • BOLT (BSE-On-Line-Trading)
      • For New Companies
      • For Companies Listed on Other Stock Exchanges
      • For Companies Delisted Already and Seeking Relisting of this Exchange
      • Safety: of Market
      • OLRT (On-Line-Real Time)
      • Opportunities for Foreign Investors
      • Shortages and Objections
      • The Process
      • Derivatives Trading
      • Calcutta Stock Exchange
      • The National Stock Exchange of India Limited (NSE)
      • Universal Exchanges
      • Review Questions
  • PART VI: DEMAT TRADING AND MUTUAL FUNDS
    • Chapter 16: Depository Services
      • Depository
      • Bank and Depository – Comparison
      • Depository Participant (DP)
      • Depository (Dematematemat ) Services
      • Services / Functions
      • Demat (Beneficiary) Account
      • Dematerialization
      • Electronic Settlement of Trade – Procedure
      • Demat of Debt Instruments
      • Safety System for Demat
      • Shortcomings of Demat System
      • Indian Depository
      • Role of Cdsl
      • Constitution
      • Major Tasks
      • Benefits
      • Role of NSDL
      • Depository Stock Exchanges
      • Legal Framework
      • Review Questions
    • Chapter 17: Mutual Funds and SEBI Guidelines
      • Definition
      • Products / Schemes
      • Mechanics of Mutual Fund Operations
      • Mutual Funds in India
      • Managing Mutual Funds in India
      • SEBI Requirements of AMC
      • Functions of AMC
      • Working Mechanism of AMC
      • Portfolio Management Process in Mutual Funds
      • Operational Efficiency of Mutual Funds
      • Evaluating Mutual Funds
      • Mutual Fund Holders’ Account
      • Review Questions
  • University Question Papers
  • Index
Biographical note

Dr. Gurusamy holds a doctorate in Financial Services. He is currently Professor and Head, Department of Commerce, University of Madras, Chennai. He has more than 30 years of teaching and research experience. His area of interest includes accounting and finance, banking and insurance. A prolific writer, he has published books on Financial Services and Systems, Financial Markets and Institutions, Banking Theory Law and Practice and Merchant Banking and Financial Services.

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