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Regulation of Stock Exchanges

The document discusses the regulation of stock exchanges and securities trading in India. Key points include that the Securities and Exchange Board of India (SEBI) regulates stock exchanges, market intermediaries, and prohibits fraudulent trading. Major stock exchanges like National Stock Exchange (NSE) and Bombay Stock Exchange (BSE) have different trading systems and requirements for membership. Listing on an exchange provides advantages to both companies and investors. Depositories like NSDL electronically hold securities on behalf of participating investors.

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Shibashish Giri
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692 views

Regulation of Stock Exchanges

The document discusses the regulation of stock exchanges and securities trading in India. Key points include that the Securities and Exchange Board of India (SEBI) regulates stock exchanges, market intermediaries, and prohibits fraudulent trading. Major stock exchanges like National Stock Exchange (NSE) and Bombay Stock Exchange (BSE) have different trading systems and requirements for membership. Listing on an exchange provides advantages to both companies and investors. Depositories like NSDL electronically hold securities on behalf of participating investors.

Uploaded by

Shibashish Giri
Copyright
© Attribution Non-Commercial (BY-NC)
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PPTX, PDF, TXT or read online on Scribd
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REGULATION OF STOCK EXCHANGES

THE POWER OF NOMINATE PRESIDENT,VICE

PRESIDENT. SEBI ACT,1992-REGULATE THE BUSINESS OF MARKET INTERMEDIARIES,REGULATION OF MUTUAL FUND PROHIBITION OF FRAUDULENT AND UNFAIR TRADE PRACTICES AND INSIDER DEALINGS. THE EXECUTIVE DIRECTOR HAS WISE POWER EVERY STOCK EXCHANGE IS MANAGED BY A GOVERNING COMMITTEE.

REGULATION OF STOCK EXCHANGE CONT.


APPLICARION FOR RECOGNITION OF STOCK

EXCHANGE POWER OF CENTRAL GOVERNMENT TO CALL FOR PERIODICAL RETURNS POWER OF RECOGNIZED STOCK EXCHANGE TO MAKE RULES

TRADING OF SECURITY
NSE TRADING SYSTEM MARKET TYPES:1.NORMAL MARKET 2.ODD LOT

MARKET. 3.AUCTION MARKET. 4.SPOT MARKET


ORDER BOOKS CAPITAL MARKET/EQUITIES SEGMENT

BSE TRADING SYSTEM MEMBERSHIP CRITERIA SECURITIES TRADED ON THE EXCHANGE -

1.LISTED SECURITY
BSE ONLINE TRADING

2.PERMITTE SECURITY\

OTCEI TRADING SYSTEM_


PROCEDURE TO BUY NAD SCRIP ON THE OTCEI
TRADING OF UNLISTED SECURITIES

MARGIN TRADING
WHEN INVESTOR DOES NOT HAVE SUFFICIENT

MONEY TO BUY PARTICULAR SECURITIES THEN HE CAN TAKE LOAN FROM HIS BROKER UP TO A CERTAIN PERCENTAGE AS PRESCRIBED BY THE NORMS.

LISTING OF SECURITIES LISTING MEAN ADMISSION OF SECURITY FOR

TRADING ON STOCK EXCHANGE THROUGH A FORMAL AGREEMENT BETWEEN COMPANY AND STOCK EXCHANGE. ADVANTAGE OF LISTING1.TO THE COMPANY 2.TO THE INVESTORS FORMALITIES ASSOCIATED WITH LISTING

REGULATION OF DEPOSITORIES DEPOSITORY MEAN A COMPANY FORMED AND

REGISTERED UNDER THE COMPANY ACT,1956 AND WHICH GRANTED A CERTIFICATE OF REGISTRATION UNDER SUBSECTION (1A)OF SECTION 12 OF SEBI. DEPOSITORIES AND DEPOSITORY PARTICIPANTS ARE REGULATED BY DEPOSITORIES ACT 1996 PARTICIPANTS IN IT ARE 1.NSDL 2.DEPOSITORY PARTICIPANT 3.RAGISTRARS AND SHARE TRANSFER AGENT 4.THE INVESTOR

REGULATION OF DEPOSITORIES CONT REGISTRATION


ADVANTAGE OF THE DEPOSITORY SYSTEM FILLING UP TRANSFER DEEDS AND LODGING THE

SAME WITH COMPANY FOR TRANFER IS NOT NECESSARY THERE WOULD NOT BE ANY BAD DELIVERY EXEMPTION FROM PAYING STAMP DUTY FASTER PAYMENTS ON SALE OF SHARE NO SCOPE FOR FORGERY OF SHARE CERTIFICATE TIME SAVING IN TRANSFERS

ROLE OF NSDL IT IS AN ORGANIZATION WHERE THE SECURITIES

OF PARTICIPATING INVESTORS HELD IN AN ELECTRONIC FORM IT FUNCTIONS LIKE A BANK. FOR THIS INVESTOR WHO WANTS HIS SHARES DEMAREIALIZED SHOULD OPEN AN ACCOUNT AT THE DEPOSITORY THROUGH DEPOSITORY PARTICIPANT SEBI GUIDELINE SAYS THAT FINANCIAL INSTITUTIONS,BAN K AND SUB BROKER CAN ACT AS DEPOSITORY PARTICIPANTS.

MARKET REGULATION BY COMPANIES ACT,1956


IT PRESCRIBE THE CODE OF CONDUCT TO BE

OBSERVED BY THE CORPORATE SECTOR IN RELATION TO ISSUE,ALLOTEMENT AND TRANSFER OF SECURITIES,AND DESCLOSURE TO BE MADE IN PUBLIC ISSUES. THE ACT PRESCRIBES- TIME LIMIT,PROCEDURE AND CONDITION FOR RAISING CAPITAL,PROCEDURE FOR AND RESTRICTIONS ON BUY BACK OF SECURITIES BY A COMPANY,MAKE AN APPLICATION TO A RECOGNIZED STOCK EXCHANGE FOR PERMISSION FOR LISTING.

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