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 OF
SEBI

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 THE
FINANCIALSTATEMENTS

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