Major Initiatives Taken by Sebi

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CONTENTS
Page No. List of Tables ...................................................................................................... List of Charts ..................................................................................................... List of Boxes ....................................................................................................... Abbreviations ..................................................................................................... CHRONOLOGY OF MAJOR INITIATIVES BY SEBI ..................... vi ix x xi xiv

PART ONE:

POLICIES AND PROGRAMMES 1. 2. GENERAL MACRO-ECONOMIC ENVIRONMENT .............. REVIEW OF POLICIES AND PROGRAMMES ....................... I. Primary Securities Market ....................................................... II. Secondary Securities Market ................................................... III. Mutual Funds .............................................................................. IV. Foreign Institutional Investors ................................................. V. Custodians .................................................................................... VI. Investor Assistance and Investor Education......................... VII. Retrospect and Prospects .......................................................... 5 10 10 14 18 20 22 22 25

PART TWO:

REVIEW OF TRENDS AND OPERATIONS 1. PRIMARY SECURITIES MARKET ............................................... I. Resource Mobilisation ............................................................... II. Sector-wise Resource Mobilisation ......................................... III. Size-wise Resource Mobilisation ............................................. IV. Industry-wise Resource Mobilisation .................................... 2. SECONDARY SECURITIES MARKET ......................................... I. Equity Market in India: An Overview .................................. II. Performance of Sectoral Indices ............................................. III. Turnover in the Indian Stock Market ................................... IV. Market Capitalisation................................................................. 31 31 32 33 35 35 35 38 39 42

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CONTENTS
Page No. V. Stock Market Indicators ........................................................... VI. Volatility in Stock Markets....................................................... VII. Trading Frequency...................................................................... VIII. Activities of the Regional Stock Exchanges ......................... IX. Dematerialisation ........................................................................ X. Derivatives Market in India ..................................................... 3. 4. 5. MUTUAL FUNDS ............................................................................... FOREIGN INSTITUTIONAL INVESTMENT ........................... DEVELOPMENTS IN THE BOND MARKET ............................ I. Private Placement ....................................................................... II. Indian Wholesale Debt Market ............................................... 44 47 48 49 52 55 60 66 70 70 71

PART THREE: REGULATION OF SECURITIES MARKET 1. 2. PRIMARY SECURITIES MARKET ................................................ SECONDARY SECURITIES MARKET ......................................... I. Registration of Stock Brokers .................................................. II. Registration of Sub-brokers ..................................................... III. Recognition of Stock Exchanges ............................................. 74 74 74 78 78

IV. Corporate Restructuring: Substantial Acquisition of Shares and Takeovers .............................................................................. 79 V. Registration of Foreign Institutional Investors .................... VI. Registration of Custodians of Securities ..................................
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