Securities And Investment Law

By | August 1, 2019
Securities And Investment Law

Securities are investment products representing small fractional interests or rights over a business enterprise or a pool of assets. Transactions in securities are regulated by three major legislations in India viz. Securities Contract (Regulation) Act, 1956, Securities and Exchange Board of India Act, 1992 and Companies Act, 2013.

MODULE 1: Investment in Corporate Securities

  • Concept of Securities and Investment
  • Issue of Prospectus by Corporation/ Company
  • Concept of Share Capital
  • Shares- Definition & Types
  • Meaning of Debentures
  • Charges
  • Dividends- Meaning & Its Types

MODULE 2: Securities Contract (Regulation) Act, 1956

  • SCRA, 1956
  • Recognition of Stock Exchange
  • Regulation of Contracts and Options in Securities
  • Listing of Securities
  • Guidelines for the listing of Shares/Debentures
  • Penalties and Procedure of Adjudication

MODULE 3: Securities and Exchange Board of India Act, 1992

  • Establishment of SEBI
  • Management of SEBI
  • Transfer of Assets, Liabilities etc., of the Existing Board to the Board
  • Powers and Functions of the Board
  • Prohibition of Manipulative and Deceptive Devices, Insider Trading and Substantial Acquisition of Securities or Control
  • Establishment, Jurisdiction, Authority and Procedure of Appellate Tribunal

MODULE 4: Depositories and Other Securities

  • Depositories- Meaning & Its types
  • Concept of Mutual Funds
  • Concept of Venture Capital
  • Meaning of Government Securities

MODULE 5: Non-Banking Financial Institutions (NBFIs) and Foreign Exchange Management

  • Law relating to Non-Banking Financial Companies
  • Law relating to Residuary Non-Banking Companies
  • Law relating to Miscellaneous Non- Banking Companies (Reserve Bank) Directions, 1977
  • Prescribed Returns Concept of Foreign Exchange regulation
  • Foreign Direct Investment in NBFCs Sector
Mayank Shekhar
Author: Mayank Shekhar

Mayank is a student at Faculty of Law, Delhi University. Under his leadership, Legal Bites has been researching and developing resources through blogging, educational resources, competitions, and seminars.

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