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CAPITAL MARKET (DEALERS) MODULE CURRICULUM 1. Trading Introduction Neat System Market Types Normal Market, Odd Lot Market, Retail Debt Market, Auction Market Corporate ierarc!y Local Database Market "!ases # Openin$, Open "!ase, Market Close, Surcon Lo$$in$ on Lo$ O%%&'(it %rom t!e Application Neat Screen In)okin$ An In*uiry Screen # Market +atc!, Security Descriptor, Market by "rice, "re)ious Trades, Outstandin$ Orders, Acti)ity Lo$, Order Status, Snap ,uote, Market Mo)ement, Market In*uiry, Auction In*uiry, Security&"ort%olio List, Multiple Inde( -roadcast and .rap!, Online -ackup, -asket tradin$, -uy -ack Trades, Supplementary /unctions Order Mana$ement # 'nterin$ Orders, Order Modi%ication, Order Cancellation, Order Matc!in$ Trade Mana$ement Trade Modi%ication, Trade Cancellation Auction # 'nterin$ Auction Orders, Auction Order Modi%ication, Auction Order Cancellation, Auction Order Matc!in$ Limited "!ysical Market Retail Debt Market 0RDM1 Tradin$ In%ormation Do2nloaded to Members Internet -rokin$ +ireless Application "rotocol

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Clearing and Settlement Introduction # Transaction Cycle, Settlement "rocess, Settlement A$encies, Risks in Settlement Settlement Cycle Securities Settlement /unds Settlement S!orta$es andlin$ Risk Containment Measures # Capital Ade*uacy Re*uirements, Mar$ins, Settlement .uarantee, No#Deli)ery "eriod International Securities Identi%ication Number Dematerialisation And 'lectronic Trans%er o% Securities In)estor "rotection /und Clearin$ So%t2are Reports /ile Trans%er "rotocol

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Trading Mem er!"i# Stock -rokers Introduction, Members!ip in NS'

Sub#-rokers o -roker#Clients Relations # 3no2 4our Client, 5ni*ue Client Code, Mar$ins %rom t!e Clients, '(ecution o% Orders, Accumulation o% Orders, Contract Note, "ayments&Deli)ery o% Securities to t!e Clients, -rokera$e, "ayment o% Stamp Duty, Se$re$ation o% -ank Accounts o Sub#-roker#Client Relations # 3no2 4our Client, Orders, "urc!ase&Sale Note, "ayments&Deli)ery o% Securities, Sub#-rokera$e o Dispute, Arbitration and Appeal o Code o% ad)ertisement

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Legal %rame&'r( Securities Contracts 0Re$ulation1 Act, 6789 Securities Contracts 0Re$ulation1 Rules, 678: Securities and '(c!an$e -oard o% India Act, 677; S'-I 0Stock -rokers < Sub#-rokers1 Rules, 677; S'-I 0Stock -rokers < Sub#-rokers1 Re$ulations, 677; S'-I 0Insider Tradin$1 Re$ulations, 677; S'-I 0"ro!ibition o% /raudulent And 5n%air Trade "ractices Relatin$ to Securities Markets1 Re$ulations, 6778 T!e Depositories Act, 6779 Indian Contract Act, 6=:; T!e Companies Act, 6789 "ublic Debt Act, 67>> Income Ta( Act, 6796

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An O*er*ie& '+ t"e Indian Se,-ritie! Mar(et Introduction # Market Se$ments, "roducts and "articipants A "ro%ile # Dependence on Securities Market, In)estor "opulation "rimary Market Secondary Market Deri)ati)es Market Market Desi$n # "rimary Market, Secondary Market, Deri)ati)es Market Re$ulatory /rame2ork Researc! in Securities Market Testin$ and Certi%ication

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%-ndamental /al-ati'n C'n,e#t! 'lementary Statistical Concepts # Mean, .eometric Mean, ?ariance, Standard De)iation, Coe%%icient o% ?ariation, Co)ariance, Correlation Coe%%icient, Normal Distribution Time ?alue o% Money /uture ?alue o% A Sin$le Cas! /lo2, /uture ?alue o% an Annuity, "resent ?alue o% a Sin$le Cas! /lo2, "resent ?alue o% an Annuity 5nderstandin$ /inancial Statements # Comparati)e /inancial Statements, Common Si@e Statements, Ratio Analysis '*uity Researc! # -!a) Copy Database, Inde( Database, Order -ook Snaps!ots, Database, Trades Database