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Paper 6

Securities Laws and Capital Markets

About Securities Laws and Capital Markets

Securities Laws relate to the rules and regulations and legislation that govern the entities that are listed on Stock Exchanges in India.The functioning of Capital markets in India and its working constitute Part B of the Paper- Capital markets.

Securities law is one among the core areas of practice and expertise for a Company Secretary. At this level you will be studying various provisions under the Securities Law, its rules and regulations such as Securities Contracts (Regulations) Act 1956, SEBI-Listing Regulations, issue of Capital and Disclosure Requirements, Insider Trading etc. Expert level knowledge in this subject is expected to apply the legal provisions and solve case studies 

Exam Information

Duration:         3 hours

Weightage:         100 Marks

Faculty
Harish

CS Harish V K

Resources
Question Paper June 2018
Question Paper June 2019

Securities Laws and Capital Markets

1 Securities Contracts (Regulations) Act, 1956

Lecture icon  2 Lectures                      Know More

2 Securities and Exchange Board of India Act, 1992

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3 Depositories Act, 1996

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4 An Overview of SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009

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5 An Overview of SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015

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6 An Overview of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011

Lecture icon  3 Lectures                      Know More

7 SEBI (Buy-Back of Securities) Regulations, 1998

Lecture icon  3 Lectures                      Know More

8 SEBI (Delisting of Equity Shares) Regulations, 2009

Lecture icon  1 Lectures                      Know More

9 SEBI (Share Based Employee Benefits) Regulations, 2014 – An Overview

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10 SEBI (Issue of Sweat Equity) Regulations, 2002 – An Overview

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11 SEBI (Prohibition of Insider Trading) Regulations, 2015

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12 Mutual Funds

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13 Collective Investment Schemes

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14 SEBI (Ombudsman) Regulations, 2003

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15 Structure of Capital Market

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16 Securities Market Intermediaries

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