What details are required to be mentioned on the contract note issued by the stock broker?

1. INVESTMENT BASICS

2. SECURITIES

3. PRIMARY MARKET

4. SECONDARY MARKET

4.1 INTRODUCTION

• What is meant by Secondary market?
• What is the role of the Secondary Market?
• What is the difference between the Primary Market and the Secondary Market?

4.1.1 Stock Exchange

• What is the role of a Stock Exchange in buying and selling shares?
• What is Demutualisation of stock exchanges?
• How is a demutualised exchange different from a mutual exchange?
• Currently are there any demutualised stock exchanges in India?

4.1.2 Stock Trading

• What is Screen Based Trading?
• What is NEAT?
• How to place orders with the broker?
• How does an investor get access to internet based trading facility?
• What is a Contract Note?
• What details are required to be mentioned on the contract note issued by the stock broker?
• What is the maximum brokerage that a broker can charge?
• Why should one trade on a recognized stock exchange only for buying/selling Shares?
• How to know if the broker or sub broker is registered?
• What precautions must one take before investing in the stock markets?
• What Do's and Don'ts should an investor bear in mind when investing in the stock markets?

4.2 PRODUCTS IN THE SECONDARY MARKETS

• What are the products dealt in the Secondary Markets?

4.2.1 Equity Investment

• Why should one invest in equities in particular?
• What has been the average return on Equities in India?
• Which are the factors that influence the price of a stock?
• What is meant by the terms Growth Stock / Value Stock?
• How can one acquire equity shares?
• What is Bid and Ask price?
• What is a Portfolio?
• What is Diversification?
• What are the advantages of having a diversified portfolio?

4.2.2. Debt Investment

• What is a 'Debt Instrument'?
• What are the features of debt instruments?
• What is meant by 'Interest' payable by a debenture or a bond?
• What are the Segments in the Debt Market in India ?
• Who are the Participants in the Debt Market?
• Are bonds rated for their credit quality?
• How can one acquire securities in the debt market?

5. DERIVATIVES

6. DEPOSITORY

7. MUTUAL FUNDS

8. MISCELLANEOUS

9. CONCEPTS & MODES OF ANALYSIS

10. RATIO ANALYSIS

• Name, address and SEBI Registration number of the Member broker.
• Name of partner/proprietor/Authorised Signatory.
• Dealing Office Address/Tel. No./Fax no., Code number of the member given by the Exchange.
• Contract number, date of issue of contract note, settlement number and time period for settlement.
• Constituent (Client) name/Code Number.
• Order number and order time corresponding to the trades.
• Trade number and Trade time.
• Quantity and kind of Security bought/sold by the client.
• Brokerage and Purchase/Sale rate.
• Service tax rates, Securities Transaction Tax and any other charges levied by the broker.
• Appropriate stamps have to be affixed on the contract note or it is mentioned that the consolidated stamp duty is paid.
• Signature of the Stock broker/Authorized Signatory.