Equity Sales Certification Examination Overview

 

It seeks to ensure a basic understanding of the various aspects of the equity products, the process flow involved in trading, clearing and settlement of these products and the regulatory environment under which the market operates.

 

(8143575575) Monday – Friday, 6 am – 8 pm Weekend Batches Also Available 

Opp: RS Brothers, KPHB Main Road, Kukatpally, Hyderabad, Telangana 500072

(8143575575) Monday – Friday, 6 am – 8 pm Weekend Batches Also Available 

What are the course objectives?
  • Know the basics of the Indian equity market
  • Understand the characteristics of equity, associated risks and returns and taxation aspects
  • Understand the clearing, settlement and risk management as well as the operational mechanism related to the equity market.
Course Fees ?

Fees Details :

Name of Examination: NISM-Series-XI: Equity Sales Certification Examination

Fees (Rs.) Test Duration (in minutes) No. of Questions Maximum Marks Pass Marks* (%) Certificate # Validity (in years)
1770+ 120 100 100 50 3

Inclusive of Service Tax. Payment Gateway charges extra.

* Negative marking – 25% of the marks assigned to the question.

# Passing Certificate will be issued only to those candidates who have furnished/ updated their Income Tax Permanent Account Number (PAN) in their registration details.

Who will benefit from this course ?
  • The funding is committed to your business and your intended projects. Investors only realise their investment if the business is doing well, eg through stock market flotation or a sale to new investors.
  • You will not have to keep up with costs of servicing bank loans or debt finance, allowing you to use the capital for business activities.
  • Outside investors expect the business to deliver value, helping you explore and execute growth ideas.
  • Some business angels and venture capitalists can bring valuable skills, contacts and experience to your business. They can also assist with strategy and key decision making.
  • Like you, investors have a vested interest in the business’ success, ie its growth, profitability and increase in value.
  • Investors are often prepared to provide follow-up funding as the business grows.

Our Training Features


Online Classes

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CLASSROOM TRAINING

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Job Assurence

Equity Sales Syllabus :

CHAPTER-1: Overview of Indian Securities Market

  • Introduction
  • Market Regulators
  • Market Segments
  • Market Participants
  • Types of Investors

CHAPTER-2: Regulatory Framework

  • Securities Contracts (Regulation) Act, 1956
  • Securities Contracts (Regulation) Rules, 1957
  • Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2012
  • Securities and Exchange Board of India Act, 1992
  • The Depositories Act, 1996
  • The Companies Act, 1956
  • Prevention of Money Laundering Act, 2002
  • SEBI (Stock Brokers & Sub-brokers) Regulations, 1992
  • SEBI (Prohibition of Insider Trading) Regulations, 1992
  • SEBI (Prohibition of Fraudulent and Unfair Trade Practices relating to Securities Markets) Regulation, 2003

CHAPTER-3: Primary Market

  • Introduction to Primary Market
  • Issue of Shares
  • Public Issue

CHAPTER-4: Secondary Market

  • Introduction to Secondary Market
  • Functioning of the Secondary Market
  • Market Phases

CHAPTER-5: Understanding Market Indicators

  • Index and its Significance
  • Types of Indices based on Calculation Methodology
  • Major Indices in India
  • Impact cost – A Measure of Market Liquidity
  • Risk and Beta
  • Market Capitalization Ratio
  • Turnover Ratio
  • Fundamental Analysis
  • Technical Analysis

CHAPTER-6: Trading and Risk Management

  • Trading Systems in India
  • Orders
  • Trade Life Cycle
  • Mechanism of Circuit Breakers
  • Transaction Charges
  • Capital Adequacy Requirements of Trading Members
  • Risk Management System

CHAPTER-7: Clearing and Settlement

  • Types of Accounts
  • Clearing Process

CHAPTER-8: Market Surveillance

  • Introduction to Market Surveillance
  • Market Surveillance Mechanism (by Exchanges and by SEBI)

CHAPTER-9: Client Management

  • Introduction to Client Management
  • Types of Risks
  • Risk Profiling of Investors
  • Financial Planning
  • Product Suitability
  • Review of Client’s Portfolio
  • Client Account
  • Taxation
  • Investor Grievance Mechanism

Our Students Testimonials

 

This course will be providing me good knowledge about the accounting concepts. Also, it will be giving be exposure to the practical as well as the theoretical aspect of accounting as a whole.

Giridhar

 

This course will be giving me all the required knowledge in accounts domain and will be helping me to make my career in the accounting profile.

Sridhar

 

I have joined this course to have a deep knowledge in accounting domain, and I am getting my knowledge enhanced here. It has been a good experienced till now.

Nataraj