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MBA Security Market Operations Study Materials BOOK PDF 2020 | Download MBA Security Market Operations Study Materials BOOK PDF

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Security Market Operations

Security Market Operations are issues by organizations of Business, corporate units and governments. According to Dr. V A Avadhani, Securities markets are markets in financial assets or instruments and these are represented as I.O.Us (I owe you) in financial form.

Download Security Market Operations Study Materials

Security Market Operations  Notes Pdf Download
Security Market Operations Lecture Notes  Download
Security Market Operations PPT  Download
Security Market Operations Text Book  Download
Security Market Operations Question Paper  Download

Recommended Books

  • Dalton, John M, HOW THE STOCK MARKET WORKS, Prentice Hall, New Delhi.
  •  Machi Raju, H.R, MERCHANT BANKING; Wiley Eastern Ltd.; New Delhi.
  • Chanratre, KR, CAPITAL ISSUE, SEBI & LISTING; Bharat Publishing House, New
    Delhi.

Syllabus

Unit – I

Security Markets – Legal Environment: SEBI Act, 1992, Securities Contract Regulation Act 1956, Companies Act 1956 (various provisions relating to securities), RBI rules and guidelines for Fll’s.

Unit – II

Security Markets – Primary market – its role and functions – Methods of selling securities in primary market – New financial instruments – New Issues – SEBI guidelines for public issues – pricing of issue, promoters’ contribution – appointment and role of merchant bankers, underwriters, brokers, registrars and managers, bankers etc – Underwriting of issues – Allotment of shares – Procedures for new issues – e-trading.

Unit – III

Secondary Market – Role, importance, an organization of stock exchanges – Listing of securities in stock exchanges – Trading mechanism – screen based system – Insider trading; Take-over’s – Internet-based trading.

Unit – IV

Depository: Role and need – The Depositories Act, 1996, SEBI (Depositories and Participants Regulation) 1996 – SEBI (Custodian of Securities) Regulation 1996 – National Securities Depository Ltd. (NSDL) – Depository participant.

Unit – V

Capital Market Instruments – Equity, Secured Premium Notes, Equity Shares with detachable warrants, Sweat Equity, Non-Voting Shares, Tracking stocks, Preference Shares, Debentures, Disaster Bonds, Option Bonds, Easy Exit Bonds, Split Coupon Debentures, Floating Rate Bonds and Notes, Clip and Strip Bonds, Dual Convertible Bonds, Debt Instruments with Debt warrants, Indexed Rate Notes, Stepped Coupon Bonds, Dual Option Warrants, Extendable Notes, Commodity Bonds, Mortgage Backed Securities, Carrot and Stick Bond, Capital Indexed Bonds, Debt for Equity Swap, Zero Coupon Convertible Notes, Global Depository Receipts,  Foreign Currency Convertible Bonds – New instruments of Capital Market – Pure, Hybrid and Derivatives; Money Market Instruments – Treasury bills, Commercial Bills, Commercial Paper, Participatory Notes.

Important Questions

  • If the HSBC were to do business with the People’s Republic of China and have substantial holdings of the Chinese Yuan (renminbi) on hand, what risk might this pose for the bank?
  • Explain the procedure of Registration of transfer of securities with depository under the Depositories Act 1996
  • Explain briefly the Powers of Board to give Directions in certain cases under Depositories Act 1996
  • How could the HSBC manage its currency exchange rate risk?
  • As the British retail banks are merged to achieve cost savings and economies, do this increase or decrease the barriers to entry for foreign banks wishing to do business in the EU?
  • What is the depository? Explain the role and need for depository?
  •  Explain briefly the rights & obligations of depositories as per the Depositories Act 1996
  • Briefly, explain the procedure of inspection and audit under SEBI (Custodian of Securities and Regulation) Act1996
  • Explain the procedure for application of grant of certificate of registration under SEBI (Depositories Participation and Regulation) Act 1996
  • Explain the procedure of inspection under SEBI (Depositories Participation and Regulation) Act1996
  • Briefly, explain the procedure for action in case of default under SEBI (Custodian of Securities and Regulation) Act1996
  • Explain general obligations and responsibilities of custodian under SEBI (Custodian of Securities and Regulation) Act1996
  •  Explain the procedure of Registration of custodian of services inspection under SEBI (Custodian of Securities and Regulation) Act1996

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