Course Highlights



Study Materials


Life Time

What is Capital Market?

The capital market/secondary market is the market where investors connect to buy and sell investments most commonly stocks.It allows you to own a share of a publicly listed company .It is a designated market where various kinds of securities are traded under secure and managed environment. The securities are traded, cleared and settled within the regulatory framework prescribed by the Exchanges and the Securities and Exchange Board of India (SEBI).


This course aims at providing a basic insight about operations of capital market and provide knowledge about various processes like clearing, settlement and risk management. This course also provide glimpse of eligibility criteria of membership at NSE and other important regulatory aspects of capital market.


After completion of the course, an individual will have complete information about all the terminologies of capital market.An individual will have a true and clear picture regarding the process of capital market like clearing and settlement, risk management etc.The syllabus covers all the topics with interactive sessions . Moreover the contents of the course covers all the topics for NCFM ( NSE ACADEMY’S Certification in Financial Markets ) Capital Dealers Module Examination and makes every student capable of cracking it.You will be well prepared for the NCFM examination.

Intended Participants​

Anybody (Retail Traders,New Investors ,Students , Researchers ,Financial Service Professionals or any individual) having interest in the Capital market and its operation and want to enhance his/her knowledge,overall productivity or want to build their career in this market are welcome. As not only we provide theoretical knowledge, but also practical application, mentoring and training guidance, to help each student achieve their goals for investing or trading.

Interested To
Get Our Featured Service

  • Market Segments
            Primary Market
            Secondary Market
  • Key Indicators of Securities Market
             Market Capitalisation
             Market Capitalisation Ratio     
             Turnover Ratio
  • Products and Participants    
  • Market Segments and their Products
  • Reforms in Indian Securities Markets

  • Stock Brokers
  • NSE Membership
            New Membership
            Eligibility Criteria for Membership at NSE
            Admission Procedure for New Membership
  • Surrender of Trading membership
  • Suspension & Expulsion of Membership
            Basis of Suspension of Membership
            Suspension of Business
            Removal of Suspension
            Consequences of Suspension
            Consequences of Expulsion
  • Declaration of Defaulter
  • Authorised Persons
  • Sub-Brokers
            Cancellation of Registration
  • Broker-Clients Relations
            Client Registration Documents
            Unique Client Code (UCC)
            Margins from the Clients & Execution of Orders 
            Contract Note & Brokerage
            Payments/Delivery of Securities to the Clients
            Segregation of Bank Accounts
            Segregation of Demat (Beneficiary) Accounts
  • Sub-Broker-Clients Relations
            Relationship with clients
            Contract notes
            Securities/ Funds
  • Investor Service Cell and Arbitration
  • Code of Advertisement        

  • Introduction
  • NEAT System
  • Market Types
  • Trading System Users Hierarchy
  • Local Database
  • Market Phases
  • Logging On
  • Log Off/Exit from the Application
  • NEAT Screen
  • Invoking an Inquiry Screen
            Market Watch , Security Descriptor & Market by Price 
            Previous Trades , Outstanding Orders & Activity Log
            Order Status , Snap Quote & Market Movement 
            Market Inquiry & Auction Inquiry
            Security/Portfolio List & Multiple Index Broadcast and Graph 
            Online Backup & Basket Trading 
            Buy Back Trades & Supplementary Functions 
  • Order Management
            Entering Orders
            Order Modification
            Order Cancellation
            Order Matching
  • Trade Management
            Trade Cancellation
  • Auction
            Entering Auction Orders
            Auction Order Modification
            Auction Order Cancellation
            Auction Order Matching
  • Limited Physical Market
            Salient Features of Limited Physical Market
  • Block Trading Session
  • Retail Debt Market (RDM)
            Members eligible for trading in RDM segment
            Trading Parameters
            Market Timings and Market Holidays
            Trading System
            Trading Cycle
  • Trading information downloaded to Members
  • Internet Broking
  • Co-location
  • Wireless Application Protocol (WAP)

  • Introduction
  • Key terminologies used in Clearing and Settlement Process
  • Transaction Cycle
  • Settlement Agencies
  • Clearing and Settlement Process
            Clearing Process
            Settlement Process
            Settlement Cycle
  • Securities and Funds Settlement
            Securities Settlement
            Funds Settlement
  • Shortages Handling
            Valuation Prices
            Close-out Procedures
  • Risks in Settlement
  • Risk Management
            Capital Adequacy Requirements
            On-Line Exposure Monitoring
            Off-line Monitoring
            Index-based Market-wide Circuit Breakers/ Price Bands for Securities   
            Settlement Guarantee Mechanism
  • International Securities Identification Number
  • Data and Report Downloads
            Obligation Reports
            Custodial Trade Reports
            Deliveries Reports
            Funds Reports
            Auction Reports
            Margin Reports
            Miscellaneous Report

  • SEBI (Intermediaries) Regulations, 2008
  • SEBI (Prohibition of Insider Trading) Regulations, 1992
            Prohibition on Dealing, Communicating or Counseling (Chapter II)147
            Investigation (Chapter III)
            Disclosures and Internal Procedure for Prevention of Insider Trading (Chapter IV)
  • SEBI (Prohibition of fraudulent and Unfair Trade Practices relating to securities market) Regulations, 2003
            Prohibition of Certain Dealings in Securities
            Prohibition of Manipulative, Fraudulent and Unfair Trade Practices
  • The Depositories Act, 1996
  • Indian Contract Act, 1872
  • Income Tax Act, 1961 

  • Time Value of Money
               Future Value of a Single Cash Flow
               Future Value of an Annuity
               Present Value of a Single Cash Flow
               Present Value of an Annuity
  • Understanding Financial Statement
               Comparative Financial Statements
               Common Size Statements
               Ratio Analysis