Trading and Broking Operations Level 1: Functions of Trading Members

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This course offers a practical overview of client onboarding procedures and documentation for NSDL and CDSL accounts. It also explains the key roles trading members play in trading, IPO applications, margin trading, research, advisory services, and trade processing. Ideal for learners seeking to understand the end-to-end onboarding and operational flow in the Indian capital markets.

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₹ 500/-
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This course includes:

2 Hours of learning content

1 months access

Completion Certificate

English

Who Should Take This Course?

This course is designed for:

New joiners in broking, operations, and compliance teams

Client servicing and back-office professionals

Individuals seeking practical knowledge of account opening and onboarding

Anyone interested in broker functions, IPO processes, and trade life cycles in India

Offered by: NISM

Assessment Test: NA

Pass Percentage - NA

What’s In It For You?

Client On-Boarding

Understanding the Functions of Brokers

Understanding the Functions of Brokers Concerning IPO

Understanding the Role of Brokers with Reference to IPO Financing

Understanding the Role of Brokers Concerning Margin Trading Facility

Understanding the Role of Brokers Regarding Research and Advisory

Understanding the Role of Brokers Regarding PMS

Understanding the Role of Brokers Concerning Pledge and Re-Pledge Mechanism

Order Placement Through Dealer vs Self-Execution

Order Matching Mechanism for Retail and Institutional Clients

Trade Life Cycle for Retail and Institutional Clients

Straight Through Processing (STP) for Retail and Institutional Clients

Looking for Help?

Helpdesk

02192-668492/8493

Timings: Monday to Friday 9:30 AM till 5:30 PM

(Helpdesk will remain closed on public holidays).

elearning@nism.ac.in