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Why should one take this course?

  • To understand the capital market trading operations of NSE.
  • To understand the clearing, settlement and risk management processes.
  • To know about the eligibility criteria for seeking membership at NSE.
  • To learn the other important regulatory aspects.

Who will benefit from this course?

  • Employees of Stock Brokers and Sub-Brokers
  • Students
  • Teachers
  • Employees of BPO/IT Companies
  • Investors
  • Anybody having interest in the Stock market operations

Capital Market (Dealers) Module (CMDM) Syllabus


An Overview of the Indian Securities Market

Market segments, Key indicators of securities market, Products and participants, Market segments and their products, Reforms in Indian securities markets

Trading Membership

Stockbrokers, NSE membership, Surrender of trading membership, Suspension & expulsion of membership, Declaration of defaulter, Authorized persons, Sub-brokers, Broker-clients relations, Sub broker-clients relations, Investor service cell and arbitration, Code of


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, Order management, Trade management, Limited physical market, Block
trading session, Retail debt market (RDM), Trading information downloaded to members, Internet broking, Wireless application protocol (wap), Computer to computer link (ctcl) facility

Clearing and Settlement

Introduction, Key terminologies used in clearing and settlement process, Transaction cycle, Settlement agencies, Clearing and settlement process, Securities and funds settlement, Shortages handling, Risks in settlement, Risk management, International securities
identification number, Data and report downloads

Legal Framework

SEBI (intermediaries) regulations, 2008, SEBI (prohibition of insider trading) regulations, 1992, SEBI  (prohibition of fraudulent and unfair trade practices relating to, Securities market) regulations, 2003, The depositories act, 1996, Indian contract act, 1872, Income tax act,

Fundamental Valuation Concepts

Time value of money; Understanding financial statement