1. UNIT-1

2. FEATURES OF SEBI 1992 COLLECT INFORMATION ADVICE THE GOVERNMENT ISSUE LICENSE MERCHANT BANKS MUTUAL FUNDS LEGAL DRAFTS FOR THE DEVELOPMENT ROLE OFSEBI 3. SEBI IN A NUT SHELL 4. OBJECTIVES PROTECT INTEREST INVESTORS PRACTICE OF COMPANY PROMOTE BROKERS MERCHANT BANKERS INTERMEDIARIES 5. SECURITIES MARKET PROMOTION ORGANISE 6. FUNCTIONS OF SEBI REGULATORY DEVELOPMENTAL FUNCTIONS COLLECTIVE INVESMENT SCHEMES RESEARCH INFORMATIONS 7. SECURITIES MARKET CODE OF CONDUCT FAIR PRACTICE SELF REGULATORY PERIODICALRETURNS RECOGNISED STOCK EXCHANGES 8. SECURITIES CONTRACT REGULATION ACT 1992 9. GUIDELINES SECTION 28 DEFINITION OF STOCK EXCHANGE DEALING SECURITIES CONTROLLING THE BUSINESS OF BUYING SELLING PURPOSE OF ASSISTING WHETHER INCORPORATED OR NOT BODY OF INDIVUDUALS 10. SCRA 1956 11. SEBI WITH SCRA STOCK EXCHANGES 12. SEBI WITH NEW ISSUES MARKET NEW PRIMARY FIRST ISSUE SHARES IPO CONTROLS 13. FIRST CONDITION OF SEBI OFFER DOCUMENT WHAT IS THIS? 14. REGARDING UNLISTED COMPANIES LISTED COMPANIES TRACK RECORD PROJECT APPRAISAL 15. TRACK RECORD ISSUE SECURITIES OFFER DOCUMENT UNDISTRIBUTED PROFITS 3OUT OF 5 YEARS 1 CR. NET WORTH IN FIVE YEARS 16. THREE YEARS-TRACK RECORD PROFITS ARE EMINATING FROM THE INFORMATION TECHNOLOGY BUSINESS 17. PARTNERSHIP FIRMS TO COMAPANIES TRACK RECORD ELIGILIBITY REVISED FORMAT REQD FOR COMPANIES ADEQUATE DISCLOSURES 18. FINANCIAL STATEMENTS MERCHANT BANKERS CONFIRM THEFINANCIALSTATEMENTS 19. UNLISTED COMPANY PROJECT APPRAISAL 20. REGARDING LISTED COMPANIES FILING OF OFFER DOCUMENTS PROSPECTUS BOARD MERCHANT BANKER REGISTER OF COMPANIES 21 DAYS 21. LETTER OF OFFER >50 LAKHS LETTER OF OFFER MERCHANT BANKER FILES 22. To change COMPANIES BARRED APPLICATION FOR LISTING ISSUE OF SECURITIES IN DEMATERIALISED FORM CHANGE OF NAME PUBLIC ISSUE OF EQUITY SHARES 23. SEBI WITH INVESTOR 24. WHAT IS INVESTOR PROTECTION WHO IS AN INVESTOR? 25. WHAT IS DISCLOSURE TO WHOM IT IS DISCLOSED? 26. SEBI WITH GUIDELINES 2000 A FIRM SHELTER TO INVESTORS 27. GUIDE LINES ELIGIBILITY NORMS COMPANIES ISSUING SECURITIES PRICING OF SECURITIES PROMOTOR`S CONTRIBUTION MERCHANT BANKERS PRE ISSUE OBLIGATIONS LETTER OF OFFER A BRIDGED PROSPECTUS (COMPANY LAW?) PROSPECTUS 28. THEN POST ISSUE OBLIGATIONS GREEN SHOE (WHAT IS THIS?) ADVERTISEMENT(COKE AND PEPSI) ISSUE OF DEBT INSTRUMENTS BOOK BUILDING PROCESS PUBLIC OFFER STOCK EXCHANGE ONLINE SYSTEM 29. AND FINANCIAL INSTITUTIONS PREFERENCIAL BONUS ISSUES OPERATIONAL AND MISCELLANEOUS