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Diploma in Stock Broker

Rs.6,000.00 Rs.3,000.00

Stock brokers are licensed professionals who advise clients and manage client investments.

They perform such tasks as purchasing and selling stocks, bonds and other securities.


Course Name: Diploma in Stock Broker
Course Id: DSB/Q001.
Education Qualification: 12th Pass.

Duration: 370 Hrs.

How You will Get Diploma Certificate:

Step 1- Select your Course for Certification.

Step 2- Click on Enroll Now.

Step 3- Proceed to Enroll Now.

Step 4- Fill Your Billing Details and Proceed to Pay.

Step 5- You Will be Redirected to Payment Gateway, Pay Course and Exam Fee by Following Options.

Card(Debit/Credit), Wallet, Paytm, Net banking, UPI and Google pay.

Step 6- After Payment You will receive Study Material on your email id.

Step 7- After Completion of  Course Study give Online Examination.

Step 8- After Online Examination within 7 days you will get Diploma Certificate soft copy(Scan Copy) and Hard Copy(Original With Seal and Sign) within 30 days.

Step 9- After Certification you will receive Prospect Job Opportunities as per your Interest Area.

Online Examination Detail:

Duration- 60 minutes in each Module.
No. of Questions- 30. (Multiple Choice Questions) in each Module.
Maximum Marks- 600, Passing Marks- 40%.
There is No Negative marking in this module.

Benefits of Certification:

  • Government Authorized Assessment Agency Certification.
  • Certificate Valid for Lifetime.
  • Lifetime Verification of Certificate.
  • Free Job Assistance as per your Interest Area.


Diploma in Stock Broker
Name of PaperM. MarksPass Marks
Financial Institutions and Markets10040
Stock Market Operations10040
Technical Analysis10040
Equity Research10040
Financial Analysis And Reporting10040
Derivatives and Risk Management10040
Treasury Management10040
Financial Institutions and Markets

Nature and role of financial structure – Financial system and financial markets – Financial system and economic development -Indian financial system: an overview; Investment alternatives and evaluation ; Reforms in financial system, Investment banking ; Credit Rating ; Factoring and Forfaiting ; Housing Finance ; Leasing and hire purchase ; Financial inclusion and Microfinance, Money market- meaning, constituents & function ; Money market instruments – call money, treasury bills, and certificate of deposits, Commercial bills, and trade bills, Acceptance Houses, Discount Houses ; Capital markets – primary and secondary market ; Government securities markets ; Role of SEBI – an overview and recent developments. Role of RBI,SEBI.DFHI,SHCI in Financial Markets, Reserve bank of India – organization, management, and function ; Commercial banks – meaning, functions and investment policies ; Development banks – concept, objectives, and function ; Insurance companies – objectives, role, and investment practices, -IRDS ; Unit Trust of India – objective, function, and schemes ; role and functions of non-banking financial institutions ; Merchant banking-functions and role, Concept and performance of Mutual funds ; Regulation of Mutual funds ( with special reference to SEBI guidelines) ; Designing and marketing of mutual fund schemes.

Stock Market Operations

An overview of Indian Securities Market, Meaning, Functions, Intermediaries, Role of Primary Market – Methods of floatation of capital – Problems of New Issues Market – IPO’s – Investor protection in primary market – Recent trends in primary market – SEBI measures for primary market, Meaning, Nature, Functions of Secondary Market – Organization and Regulatory framework for stock exchanges in India – SEBI : functions and measures for secondary market – Overview of major stock exchanges in India – Listing of Securities: Meaning – Merits and Demerits – Listing requirements, procedure, fee – Listing of rights issue, bonus issue, further issue – Listing conditions of BSE and NSE – Delisting, Meaning, Purpose, and Construction in developing index – Methods (Weighted Aggregate Value method, Weighted Average of Price Relatives method, Free-Float method) – Stock market indices in India – BSE Sensex – Scrip selection criteria – Other BSE indices (briefly) – NSE indices – S&P CNX Nifty – Scrip selection criteria – Construction – Stock market indices in foreign countries (Overview).

Technical Analysis

Technical Analysis: Meaning – Purpose – History – Importance – assumptions – News and Your Trading – Managing a Trade – Dealing with Disaster – Reward to Risk Ratio – Psychology in Trading and Planning – using Public Fear as a Trading Tool – Analysis of a Losing Trade – support vs resistance – Intraday trend – trading gaps, Charting Techniques : Trend-Determining Techniques – The Market Cycle Model Financial Markets and the Business Cycle – Dow Theory – Typical Parameters for Intermediate Trends –Eliot Wave theory – Price Patterns – Smaller Price Patterns – One and Two Bar Price Patterns – Trend lines – charts- types – swing trading strategies, Technical Indicators : Moving Averages – Momentum Principles – Individual Momentum Oscillators : RSI vs Stochastic , MACD , TRIX , Volume indicators , volatility indicators – Bollinger Bands – – Chalkin Volatality Indicator – Sentiment Indicators, Candle stick patterns: Constructing The Candlestick Lines – Drawing The Candle Lines – Reversal Patterns – Stars – Continuation Patterns – Doji.

Equity Research

Risk and Return: Meaning: Return and Risk – types of risk -systematic and unsystematic risk – Measuring expected return and risk – minimizing risk exposure – risk measurement methods – Time value of money – financial ratios – Du Pont analysis – Forecasting bankruptcy (Altman’s Z score), stock return and valuations – discounted cash flow valuation- constant growth model – two stage growth and three phase model – P/E ratio valuation – preferred stock valuation – Bond return and valuation – time value and present value concepts – YTM – Bond value theorems, Fundamental Analysis : Economic analysis, Industry analysis and Company analysis. Financial Statement Analysis: shareholder’s equity- balance sheet and Income statement –cash flow – analysis of growth and sustainable earnings , Financial and Valuation Modeling: price earnings ratio – anchoring value on earnings – reverse engineering the model for active investing.

Financial Analysis And Reporting

Financial statements- Analyzing the Balance Sheet using Excel- Work sheet –Formatting – Audit tool bar – Graphics Viewing Formula -Decision making relationship with FS&FSA-Sources of information for FA-Traditional and new approaches to FSA, Comparison- Intra firm, Inter firm, Inter period analysis, Regional performance analysis, Cross sectional analysis, Residual method, Beyond national boundary analysis-merits and limitations Types of analysis- Comparative, common-size, trend analysis, Ratio analysis – merits and limitations, Factors affecting reported income –Classification of income statement analysis-Barriers and measures to overcome objective income statement analysis-Revenue and expenses recognition Techniques used by Management for earning manipulation, Asset Reporting – Accounting for Fixed Assets – Accounting for Liabilities –Off Balance sheet liabilities, Need for corporate failure analysis-Stages, Symptoms in FD-Concepts on sickness, Distress, Failure and insolvency-Factors responsible for FD. Assessing Bankruptcy status as per Altman’s Model- Corporate(Accounting) scams Enron, World com, Satyam –Measures taken by SEBI, Companies act to prevent scams after US Soxy Act 2002.

Derivatives and Risk Management

Derivatives Markets – Derivatives: Meaning, History & functions of derivatives market, participants in Derivative market, Legal framework of derivatives market in India with respect to equity, Currency and Commodity derivatives, Forwards and Futures contract, swaps, Forward and Futures contracts: Futures vs Forward contracts, Forward rate agreements, Cost of carry, Basis and convergence, Marking to Market, Forward Interest rates, Financial futures vs commodity futures, Forward Vs futures pricing, Hedge ratio, stock index futures, pricing stock index futures, Pricing and Valuing Swaps: Evolution of swaps, Types – Interest rate swaps, Currency swaps, commodity swaps, equity swaps, Index swaps, Pricing currency swap, pricing commodity swap, Credit risk in swaps, Interest rate futures: Hedging interest rate risk using interest rate futures.

Treasury Management

Treasury management in Banking Industry: Concept and Functions of Treasury Management in Commercial banks-Treasury Products in Forex Market, Money Market and Securities Market-Funding and Regulatory aspects-CRR, SLR, Liquidity Adjustment Facility (LAF) and Payment and Settlement system, Risks in Banking activities- Credit Risk, Liquidity Risk, Interest Rate Risk, Market Risk, Exchange Rate Risk and Operational risk-Risk Mitigation Measures. Capital Management in Banking-Capital Adequacy Norms-Basel II -Three Pillars Overview and Compliance Requirements, Role of RBI in ensuring economic growth and Containing Inflation through Commercial banks, Recent Trends in Banking – Retail Lending and Corporate Banking – Universal banking Leasing and Hire purchase – Credit Rating- Home Loans- Mutual fund -Bancassurance – Resolving customer complaints through Ombudsman.