SEBI Officer Grade A (Assistant Manager) Exam 2024: Registration, Syllabus, and Preparation Guide

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SEBI Officer Grade A Syllabus

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SEBI Officer Grade A Exam Syllabus 2024

 

The Online Screening Test for SEBI Grade A is divided into two sections. Paper 1 is the same across all streams and includes Reasoning Ability, Quantitative Aptitude, General Awareness, and English Language. Paper Two includes the syllabus unique to the candidate's selected stream.

 

SEBI Grade A Phase 1 Paper I Syllabus 2024

 

The paper 1 of Phase 1 remains same across all streams.

 

Section

Important Topics from SEBI Grade A Syllabus

Quantitative Aptitude

1. Data Interpretation (Percentage, Ratios),
2. Quadratic Equations,
3. Wrong Number Series & Missing Number Series
4. Problems on Ages, CI, Mensuration, Simplification, Partnerships

Reasoning

1. Direction Sense,
2. Blood Relations,
3. Syllogisms,
4. Miscellaneous topics (Alphabetical Series), Inequality

English

1. Reading Comprehension,
2. Cloze Test,
3. Find the error (A/B/C type, correct the highlighted part),
4. Jumbled sentences

General Awareness (including some questions on the Financial Sector)

1. Current Affairs Topics like Sports, Awards, Summits & Conferences
2. Static GK: Headquarters for example financial awareness

 

SEBI Grade A Paper 2 of Phase I & Phase II in General Stream Syllabus  (Common Syllabus for both phases)

 

Commerce & Accountancy

 

  1. Accounting as a financial information system
  2. Accounting Standards with specific reference to Accounting for Depreciation, Inventories, Revenue Recognition, Fixed Assets, Foreign Exchange Transactions, Investments.
  3. Cash Flow Statement, Fund flow statement, Financial statement analysis; Ratio analysis
  4. Accounting for Share Capital Transactions including Bonus Shares, Right Shares.
  5. Employees Stock Option and Buy-Back of Securities.
  6. Preparation and Presentation of Company Final Accounts.

 

Management

 

  1. Management:-its nature and scope; The Management Processes. Planning, Organization, Staffing, Directing, and Controlling.
  2. The Role of a Manager in an Organization. Leadership: The Tasks of a Leader.
  3. Leadership Styles;-Leadership Theories;A successful Leader versus an effective Leader.
  4. Human Resource Development:-Concept of HRD; Goals of HRD
  5. Motivation, Morale, and Incentives:-Theories of Motivation; How Managers Motivate; Concept of Morale; Factors determining morale; Role of Incentives in Building up Morale.
  6. Communication: Steps in the Communication Process; Communication Channels; Oral versus Written Communication; Verbal versus non-verbal Communication; upward, downward and lateral communication; Barriers to Communication, Role of Information Technology.

 

Finance

 

Financial System:- Role and Functions of Regulatory bodies in the Financial Sector.
Financial Markets:- Primary and Secondary Markets (Forex, Money, Bond, Equity, etc.), functions, instruments, recent developments.
General topics:-

  1. Basics of Derivatives: Forward, Futures, and Swap
  2. Recent Developments in the Financial Sector
  3. Financial Inclusion- use of technology
  4. Alternate source of finance, private and social cost-benefit, Public-Private Partnership
  5. Direct and Indirect taxes;-Non-tax sources of Revenue, GST, Finance Commission, Fiscal Policy, Fiscal Responsibility and Budget Management Act(FRBM),
  6. Inflation:-Definition, trends, estimates, consequences, and remedies (control): WPI, CPI-components, and trends

 

Costing

 

  1. Overview of Cost and Management Accounting- Introduction to Cost and Management Accounting, Objectives and Scope of Cost and Management Accounting.
  2. Methods of Costing- Single Output/ Unit Costing, Job Costing, Batch Costing, Contract Costing, Process/ Operation Costing, Costing of Service Sectors.
  3. Basics of Cost Control and Analysis- (a) Standard Costing, (b) Marginal Costing, (c) Budget, and Budgetary Control.
  4. Lean System and Innovation - Introduction to Lean System, Just-in-Time (JIT), Kaizen Costing, 5 Ss, Total Productive Maintenance (TPM), Cellular Manufacturing/ One-Piece Flow Production Systems, Six Sigma (SS), Introduction to Process Innovation and Business Process Re-engineering(BPR).

 

Companies Act

 

The Companies Act, 2013- Specific reference to Chapter III, Chapter IV, Chapter VIII, Chapter X, Chapter XI, Chapter XII, and Chapter XXVII.

 

Economics

 

  1. Demand and Supply, Market Structures, National Income:-Concepts and Measurement, Classical Vs Keynesian Approach Determination of output and employment, Consumption Function, Investment Function, Multiplier and Accelerator, Demand and Supply for Money, IS-LM, Inflation and Phillips Curve, Business Cycles
  2. Balance of Payments, Foreign Exchange Markets, Inflation, Monetary and Fiscal Policy, Non-banking Financial Institutions.

 

SEBI Grade A Paper 2 of Phase I & Phase II in Legal System Syllabus 

 

Phase - I

Sl. No.

Subject

Weightage*

1.

Constitution of India (Preamble, Part I, Part III, Part IV, Part IVA, Part V, Part VI, Part VIII, Part IXA, Part IXB, Part XI)

20%

2.

Contract Law –

o Indian Contract Act, 1872;

o Sale of Goods Act, 1930;

o Indian Partnership Act, 1932;

o Specific Relief Act, 1963.

25%

3.

Code of Civil Procedure, 1908 (Part I, Part II, Part III, Part IV, Part V, Part VII, Schedule I)

25%

4.

Transfer of Property Act, 1882 (Chapter III, Chapter IV, Chapter V)

5.

Arbitration and Conciliation Act, 1996 (Part I)

6.

The Limitation Act, 1963

7.

Administrative Law

20%

8.

Jurisprudence and Interpretation of Statutes

9.

Important Latin terms and maxims

10.

Law of Torts and Consumer Protection Act, 2019

10%

 

Phase - II

Sl. No.

Subject

Weightage*

1.

Criminal Law –

o Indian Penal Code, 1860 (Chapter I, Chapter II, Chapter III, Chapter IV, Chapter V, Chapter VA, Chapter VI, Chapter IX, Chapter XVII, Chapter XXI, Chapter XXII, Chapter XXIII);

o Code of Criminal Procedure, 1973.

30%

2.

Law of Evidence – Indian Evidence Act, 1872

3.

Corporate Laws –

o Companies Act, 2013;

o Limited Liability Partnership Act, 2008;

o Insolvency and Bankruptcy Code, 2016 (Part I, Part II).

30%

4.

Securities Laws –

o Securities Contracts (Regulation) Act, 1956;

o Securities and Exchange Board of India Act, 1992;

o Depositories Act, 1996;

o Securities and Exchange Board of India (Procedure for Holding Inquiry and Imposing Penalties) Rules, 1995;

o Securities Appellate Tribunal (Procedure) Rules, 2000;

o Securities and Exchange Board of India (Prohibition of Fraudulent and Unfair Trade Practices relating to Securities Market) Regulations, 2003;

o Securities and Exchange Board of India (Substantial Acquisition of Shares and Takeovers) Regulations, 2011;

o Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 2015;

o Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2018;

o Securities and Exchange Board of India (Depositories and Participants) Regulations, 2018.

40

 

SEBI Grade A Paper 2 of Phase I in Information Technology Stream Syllabus 

 

Sl. No

Topics 

Sub Topics

Weightage

1

Database Concepts

ER model. Relational model: relational algebra, tuple calculus, Integrity constraints, normal forms. File organization, indexing (e.g., B and B+ trees), Transactions, and concurrency control.

10

2

SQL Queries

Select, view, truncate, delete, update, alter, Inner join, different types of outer joins,, use of aggregate functions, Union, intersection, except, in and exist clauses, nested queries

10

3

Programming Concepts (Java /C C++ )

Program control (iteration, recursion, Functions), Scope of variables, Binding of variables & functions, Parameter passing, Functional and Logic Programming, OOPS Concepts, Inheritance, Class and object, Constructors, Functions, Exception Handling

30

4

Data Analytics Languages (Python / R)

Regex, Slicing, Data reshaping, DataFrames, Dictionaries and Sets, File Management, Classes and Functions, Data Mining, Lists, Importing and exporting data, charts and graphs

10

5

Algorithms for problem-solving

Tree and graph traversals, Connected components, Spanning trees, Shortest paths; Hashing, Sorting, Searching; Design techniques (Greedy, Dynamic Programming, Divide-and-conquer)

10

6

Networking Concepts

ISO/OSI stack, LAN Technologies (Ethernet, Token ring), TCP/UDP, IP, Basic concepts of switches, gateways, and routers, Application layer protocols (DNS, SMTP, POP, FTP, HTTP), Firewalls

10

7

Information & Cyber Security Concepts

Cyber Attacks, Software Development Security, Network Security, Authentication, CIA - Confidentiality, Integrity and Availability, Network Audit, Systems Audit

10

8

Data warehousing

Data Extraction, Data Cleaning, Data Transformation, Data Loading, Metadata, Data Cube, Data Mart, Data Models,

5

9

Shell Programming

Shell Scripting Basics, Shell Variables, Shell Script Arguments, If Statement, Loop, Return, Basic UNIX commands

5

Total

100

  

SEBI Grade A Paper 2 of Phase II in Information Technology Stream Syllabus 

 

Topic

Concept

Weightage

Algorithms

Sorting, Searching, Greedy Algorithms, Dynamic Programming, Backtracking, Divide and Conquer, Pattern Searching

30

Data Structure

Array, Linked List, Stack, Queue, Binary Tree, Indexing, JSON Objects, Binary Search Tree, Heap, Hashing, Matrix

40

String Manipulation

Length, Substring, Regex, Search

10

Object Oriented Programming

Abstraction, Encapsulation, Polymorphism, Inheritance

20

 

SEBI Grade A Paper 1 of Phase II (For All Streams):- English Writing Skills

 

The paper on English shall be framed in a manner to assess the writing skills including expression and understanding of the topic including precis writing/ essay writing/ comprehension.

 

FAQs related to SEBI Officer Grade A Exam Syllabus 2024

 

Q1: What is the SEBI Officer Grade A Exam?

The SEBI Officer Grade A Exam is a competitive examination conducted by the Securities and Exchange Board of India (SEBI) for the recruitment of Assistant Managers in various streams such as General, Legal, Information Technology, Research, and Official Language.

 

Q2: What are the different phases of the SEBI Officer Grade A Exam?

The SEBI Officer Grade A Exam consists of three phases: Phase I (Preliminary Examination), Phase II (Main Examination), and Phase III (Interview). Each phase evaluates different skill sets and knowledge areas.

 

Q3: What subjects are covered in Phase I of the SEBI Officer Grade A Exam?

Phase I includes two papers. Paper 1 tests General Awareness, English Language, Quantitative Aptitude, and Reasoning Ability. Paper 2 focuses on subjects specific to the candidate’s stream (e.g., Commerce, Economics, Management, Finance, or Law).

 

Q4: What is the structure of Paper 2 in Phase I for different streams?

For candidates in the General stream, Paper 2 covers topics such as Commerce, Accountancy, Management, Finance, Costing, Companies Act, and Economics. For candidates in the Legal stream, it includes subjects like Constitution of India, Law of Contracts, Criminal Law, Administrative Law, and more.

 

Q5: How is the Phase II exam structured?

Phase II also comprises two papers. Paper 1 is common for all streams, testing English Writing Skills through essays, precis, and comprehension. Paper 2 is stream-specific, covering advanced topics relevant to the candidate’s field.

 

Q6: What specific topics are included in Paper 2 for the Legal stream in Phase II?

In the Legal stream, Paper 2 covers advanced aspects of the Constitution of India, Corporate Law, Securities Law, Civil and Criminal Procedure, and Administrative Law among others.

 

Q7: Are there any negative markings in the SEBI Officer Grade A Exam?

 Yes, there is a penalty for wrong answers. For every incorrect answer, a certain percentage of the marks assigned to that question is deducted as a penalty.

 

Q8: How important is General Awareness in the SEBI Officer Grade A Exam?

General Awareness is a crucial part of Paper 1 in Phase I. It includes current events, financial and economic news, and basic knowledge of the securities market, which is essential for candidates aspiring to work in SEBI.

 

Q9: What kind of questions are asked in the English Language section of Phase I?

The English Language section tests comprehension, grammar, vocabulary, and verbal ability. Questions may include reading comprehension, cloze tests, para jumbles, error spotting, and sentence improvement.

 

Q10: What areas are covered under the Quantitative Aptitude section in Phase I?

The Quantitative Aptitude section includes topics such as arithmetic, algebra, geometry, number systems, data interpretation, and basic mathematics. It assesses the candidate’s numerical and problem-solving skills.

 

Q11: How should candidates prepare for the Reasoning Ability section in Phase I?

Candidates should focus on logical reasoning, analytical reasoning, puzzles, seating arrangements, syllogisms, coding-decoding, blood relations, and series. Practicing different types of reasoning questions is key to performing well in this section.

 

Q12: What skills are evaluated in the English Writing Skills paper in Phase II?

The English Writing Skills paper in Phase II assesses the candidate’s ability to communicate effectively in writing. It includes essay writing, precis writing, and comprehension, testing clarity of thought, coherence, and grammatical correctness.

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