CS Executive Securities Law

1. Website link thru BSE/NSE to download ASBA forms online with UIN for making public issue applications - SEBI
2. New Rule 19(2)(b) & 19A for initial & continuous listing requirement of 25% of capital with public as per SCRR amendment 2010 [for all companies]: 10% for 4000 crores to be increased @ 5% every year
3. Learnlabz Promotional Videos on Company Secretary (CS) Executive & Professional Programme Coaching Classes & Only This Much books released on Youtube today to make learning an interesting experience!!! [can also fetch you UPTO 50 marks in exams]
4. What is Corpfiling for Listed Company & how investors can get information online now (excel based filing), SEBI/Stock exchange website
5. Understand all about ASBA - in public issues, rights issues, by Mutual Funds, by QIB's - an alternate way of investing, SEBI
6. RBI approval is mandatory for Public (IPO), Preferential issue, QIP by Private bank; Understand what is required for Public issue of securities (SEBI)
7. Listing with Stock Exchanges to be made within 12 days of closure of public issue wef 1st May 2010
8. SEBI's guide to Understand Prospectus, its concepts, structure, etc... [read offer documents in public issues now]
9. Again an option to Buyback / Prepayment of FCCB under RBI Approval Route till June 2010
10. ASBA for Mutual Funds, NFO 15 days, Corporate Governance norms, No revenue sharing arangement & No dividend from Unit Premium Reserve
11. Understand listing agreement amendments with new sub-clauses in 41 & 49 (position before & after 5th April 2010)
12. Stock Exchanges website to disclose orders of listed companies/members & arbitration awards
13. India's 1st IDR issue: Stan Chart abroad has filed draft offer document with SEBI to raise money through BSE/NSE, with FAQ's & other provisions
14. Stock Exchange's Inspection, Internal Audit by CS/CA/CWA in practice, Default & Implementation - SEBI Master Circular
15. Understand SEBI ICDR with Checklist & download good material to read through the same, its applicable for CS exams now
16. 1 year Securities law course from SEBI by NISM is power packed and has good career prospects, may be even good placements, go for it
17. Conversion into New Pricing Norms for FCCB on or before 15th August 2010 (ie) average 2 week high & low prices only like QIP under ICDR
18. No prior RBI approval for ECB changes: Name of Borrower or Currency or Repayment or Bank after allotment of LRN, if other Terms are same
19. MF Valuation of Money market & Debt securities revised from 1st July 2010 based on 91 days maturity & others
20. Quarterly & Weekly reports by Depositories on Investor Compliants & Arbitration details to SEBI in prescribed formats
21. Clauses in Mutual Fund Advertisement Code to be printed in BOLD, SEBI Circular [MF Cl.10,13,14]
22. Spend Rupees for Spectrum Allocation,get it refinanced with ECB within 12months under Government Route, RBI says in addition to exisitng Automatic route
23. Calendar Quarterly Report by VCF within 7 days as per Regulations in Revised Format w.e.f 31/03/2010
24. Debt Listing: Special Exemptions to regulated financial sector entities eligible for meeting capital requirements as specified by respective regulators, SEBI amendment

SEBI Listing

1. Website link thru BSE/NSE to download ASBA forms online with UIN for making public issue applications - SEBI
2. New Rule 19(2)(b) & 19A for initial & continuous listing requirement of 25% of capital with public as per SCRR amendment 2010 [for all companies]: 10% for 4000 crores to be increased @ 5% every year
3. What is Corpfiling for Listed Company & how investors can get information online now (excel based filing), SEBI/Stock exchange website
4. SEBI Timelines for 12 day listing of IPO/FPO/Public issue of securities w.e.f 3rd May 2010 - The Public offer schedule to commence trading
5. Market makers in SME exchange for Rs.10 lakh & max bid ask spread may be prescribed later, SEBI guidelines
6. Understand listing agreement amendments with new sub-clauses in 41 & 49 (position before & after 5th April 2010)
7. Debt Listing: Special Exemptions to regulated financial sector entities eligible for meeting capital requirements as specified by respective regulators, SEBI amendment
8. NOC to release 1% issue amount in SEBI circular and not in DIP/ICDR regulations now, application after 4 months of listing with 2 months for bank guarantee
9. Debt Listing Agreement amendment & clarification requires Equity Listing Agreement compliance unless excluded by Debt Securities Regulations 2008
10. New 6.42 disclosures for rights issue & ASBA also made applicable & utilisation of funds only after finalisation of allotment, SEBI DIP amended
11. No Delivery Period for all corporate actions of demat securities, SEBI amends
12. New Clause 28A in equity listing agreement restricting shares with superior rights to voting/dividend
13. One day Anchor investors for 30 day lock in, include convertible instruments period for offer for sale & listing in stock exchanges with nation wide terminals - SEBI DIP amended
14. Comply DIP for fully/partly convertible debt, Comply Debt regulations for Non-convertible debentures, SEBI clarifies
15. SEBI proposes Issue of Capital & Disclosure Requirements (ICDR) Regulations, 2009 for DIP guidelines, 2000
16. Understand 30 clauses of debt securities listing agreement with 2 parts & 5 annexures under securitised debt instruments regulations, 2008
17. New Clause 5A&20A in Listing Agreement as amended-unclaimed shares,common notice period, dividend per share basis&voting rights pattern are the updates…
18. File Offer Documents (50 crores) at SEBI Western Regional Office, Ahmedabad from 1st May 2009
19. SEBI guidelines for Exit option to Regional Stock Exchanges
20. Download amended SEBI takeover code & listing agreement clause 35 & 41 disclosure tables in word form
21. SEBI amends Listing Agreement Clauses 16,19,24&41 on 4th September 2008
22. as amended SCRA enables, SEBI (Public Offer and Listing of Securitised Debt Instruments) Regulations, 2008 from 26 may 2008
23. SEBI simplifies (Issuance and Listing of Debt Securities) Regulations, 2008
24. SEBI amends Clause 49

SEBI Others

1. Website link thru BSE/NSE to download ASBA forms online with UIN for making public issue applications - SEBI
2. New Rule 19(2)(b) & 19A for initial & continuous listing requirement of 25% of capital with public as per SCRR amendment 2010 [for all companies]: 10% for 4000 crores to be increased @ 5% every year
3. Mutual Fund Trustees to report the status of investor grievance redressal - SEBI
4. Old SEBI circular on revised Trading hours in Stock Exchanges
5. SEBI master ciruclar on Stock Exchange, Depository, etc...updated as on 31st March 2010
6. What is Corpfiling for Listed Company & how investors can get information online now (excel based filing), SEBI/Stock exchange website
7. SEBI Timelines for 12 day listing of IPO/FPO/Public issue of securities w.e.f 3rd May 2010 - The Public offer schedule to commence trading
8. Optional & Limited power of attorney execution by client in favour of stock exchange/depository participant - SEBI guidelines
9. Market makers in SME exchange for Rs.10 lakh & max bid ask spread may be prescribed later, SEBI guidelines
10. Whether BSE/NSE is a regulator or a profit making entity, answer sebi now
11. SEBI guidelines for derivative contracts on Volatility Index, like NSE has
12. Understand all about ASBA - in public issues, rights issues, by Mutual Funds, by QIB's - an alternate way of investing, SEBI
13. Allocation of limits to FIIs/sub-accounts for investment in Government & Corporate debt through bidding process
14. NSE bidding process for FII on April 16, 2010 on first come first serve basis, sebi notification
15. Listing with Stock Exchanges to be made within 12 days of closure of public issue wef 1st May 2010
16. SEBI's guide to Understand Prospectus, its concepts, structure, etc... [read offer documents in public issues now]
17. ASBA for Mutual Funds, NFO 15 days, Corporate Governance norms, No revenue sharing arangement & No dividend from Unit Premium Reserve
18. Understand listing agreement amendments with new sub-clauses in 41 & 49 (position before & after 5th April 2010)
19. Stock Exchanges website to disclose orders of listed companies/members & arbitration awards
20. India's 1st IDR issue: Stan Chart abroad has filed draft offer document with SEBI to raise money through BSE/NSE, with FAQ's & other provisions
21. New Half yearly reporting Format for Portfolio Managers is prescribed by SEBI, to be submitted within 30 days, as usual
22. Stock Exchange's Inspection, Internal Audit by CS/CA/CWA in practice, Default & Implementation - SEBI Master Circular
23. Understand SEBI ICDR with Checklist & download good material to read through the same, its applicable for CS exams now
24. 1 year Securities law course from SEBI by NISM is power packed and has good career prospects, may be even good placements, go for it

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