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SEBI Investor Certification Examination - Securities Market Booklet

36 Chapters

Regulatory Framework for Securities Market

What are Securities and Securities Market?

Primary Market and Secondary Market

Who are the Market Infrastructure Institutions and Market

Key Risks in Investing in Securities Market

How to Mitigate the Risk?

Pre-requisites for Investing in Securities Market

Procedure for opening an account: Know Your Client (KYC) Process

Basic Services Demat Account (BSDA)

Power of Attorney

Nomination

Investment through Primary Market

Process of investing in Primary Market

Application Supported by Blocked Amount (ASBA)

Investment through Secondary Market

Trading Days and Trading & Settlement of trades

Contract Note

SMS and Email alert to Investors

Running Account Authorization

Trade Verification

What is Margin Money?

Statement of Account from Stock Broker and Depository

Consolidated Account Statement (CAS)

Derivatives Market

Mutual Funds

How to invest in Mutual Funds?

Product labelling in Mutual Funds

Exchange Traded Funds (ETFs)

SEBI Complaints Redress System (SCORES)

Investor Services Cell of Stock Exchange and Depository

Arbitration Mechanism

Annexure – I Do’s and Don’t’s of Investing/ trading in securities

Annexure – II Rights and Obligations of Investors

Annexure – III Caution against Unregistered Investment Advisers

Annexure – IV Unified Payment Interface (UPI) in ASBA

Annexure – V Glossary