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CURRICULUM
1. The Securities and Exchange Board of India Act, 1992 (MARKS – 10)
• Definitions
• Establishment of SEBI
• Powers and functions of the Boards
• Registration certificate
• Prohibition of manipulative devices, insider trading and substantial acquisition of
securities or control
• Finance, accounts and audit
• Penalties and adjudication
• Establishment, jurisdiction, authority and procedure of appellate tribunal
• Miscellaneous
4. SEBI (Stock Brokers and Sub Brokers) Rules and Regulations, 1992
(MARKS – 10)
• Definitions
• Registration of stock-brokers
• Registration of sub-brokers
• Registration of trading and clearing members
• General obligations and responsibilities
• Procedure for inspection
• Procedure for action in case of default
13. SEBI (Procedure for Holding Enquiry by Enquiry Officer and imposing
penalty) Regulations, 2002