STELLA MARIS COLLEGE (AUTONOMOUS), CHENNAI - 600 086

General Elective Course Offered by B.Com. Corporate Secretaryship

to the students of B.A. / B.Sc. / B.Com (Gen) / B.Com (A&F) / B.B.A /

B.C.A. / B.S.W. / B.V.A. Degree Programme

SYLLABUS

(Effective from the academic year 2019-2020)

LISTING OF SECURITIES

CODE:19CO/GE/LS22 CREDITS:2

L T P:2 0 0

TOTAL TEACHING HOURS:26

OBJECTIVES OF THE COURSE

· To enable students to understand the regulatory framework of SEBI

· To acquaint students with basic knowledge on Listing of Securities

· To educate students on compliance relating to listing agreements

COURSE LEARNING OUTCOMES

On successful completion of the course, students will be able to

· Understand the Working of SEBI and its functions in India

· Assess the Listing Procedure

· Operate the DEMAT account

Unit 1 (6 Hours)

Introduction to Stock Exchange

1.1 Stock Exchange –Introduction-Meaning and functions of Stock Exchange,

1.2 Depository Services and DEMAT Account

1.3 Securities and Exchange Board of India (SEBI) - Concept-Structure-Objectives

1.4 Functions and Power of SEBI

Unit 2 (10 Hours)

Listing of Securities

2.1 Listing of Securities-Meaning, Objectives and Types

2.2 Requirements and Procedure for Listing

2.3 Advantages and Disadvantages of Listing

Unit 3 (10 Hours)

Listing Agreements and Delisting

3.1 Compliances under Listing Agreement

3.2 Delisting-Meaning and Types

3.3 Procedure for Delisting-Voluntary and Compulsory

BOOKS FOR STUDY

Savithri Parekh, ShailashriBhaskar ,Handbook On Listing Obligations And Disclosure Requirements(Listing Obligations And Disclosure Requirements Regulations, 2015) :

Mumbai,LexisNexis,2016

Taxmann,SEBI Manual,New Delhi,2019

BOOKS FOR REFERENCE

K.Sekhar,Guide to SEBI - Capital Issues, Debentures & Listing , Mumbai,Lexis Nexis,2016

Taxmann, Securities and Exchange Board of India Act 1992, New Delhi,2017

Ravi Puliani & Mahesh Puliani ,Manual of SEBI Act, Rules, Regulations, Guidelines Circulars, Etc. Bharat Law House, Delhi,2017

CS Dr. D.K Jain & CS Ishan Jain, Listing Obligations & Disclosure Requirements ,Bharat Law House, Delhi,2016.

JOURNALS

Indian Journal of Research in Capital Market

Journal of Financial Market

Indian Journal of Finance

WEB RESOURCES

http://www.sebi.gov.in

www.sebi.gov.in/sebi_data/attachdocs/1441284401427.pdf

www.sebi.gov.in/sebi_data/commondocs/ch4_p.pdf

https://www.icsi.edu/media/webmodules/publications/CM&SL%20Final%20PDF.pdf

PATTERN OF ASSESSMENT

Continuous Assessment Test: Total Marks: 25 Duration: 1 hour

Other Components: Total Marks: 25

Case studies/Assignments/Class presentations

No End-Semester Exam