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SECURITIES AND EXCHANGE BOARD OF INDIA RECRUITMENT OF OFFICER GRADE A EXAM (SEBI ASSISTANT MANAGER) Syllabus 

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SEBI Assistant Manager Officer Grade A Mode of selection shall be a three stage process i.e.
Phase I (on-line screening examination for 200 marks),
Phase II (An  on-line  examination consisting of  two  papers  of 100  marks  each for total 200 marks)
Phase III (Interview)

Phase I On-Line Examination For General Stream, Legal Stream, Information Technology Stream, Engineering Stream, Research Stream and Official Language Stream comprises following sections: An online screening examination consisting of two papers (Multiple Choice questions of 100 marks each). The exam will consist of: 



Paper 1: 

i) General Awareness (including some questions related to Financial Sector of easy to moderate difficulty level)
ii) English Language
iii) Quantitative Aptitude
iv) Test of Reasoning 

Paper 2 : 

General Stream: Multiple choice questions on subjects Commerce, Accountancy, Management, Finance, Costing, Companies Act and Economics

Legal, Information Technology, Engineering Stream (Civil & Electrical), Official Language stream: Multiple choice questions on specialized subject related to stream.

Research Stream:-Multiple choice questions on subjects Economics,   Econometrics, Statistics, Finance and Commerce.

Phase II On-Line Examination

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

A. Commerce & Accountancy 

a) Accounting as a financial information system;

b) Accounting Standards with specific reference to Accounting for Depreciation, Inventories, Revenue Recognition, Fixed Assets, Foreign Exchange Transactions, Investments.

c) Cash Flow Statement, Fund flow statement, Financial statement analysis; Ratio analysis;

d) Accounting for Share Capital Transactions including Bonus Shares, Right Shares.

e) Employees Stock Option and Buy-Back of Securities.

f) Preparation and Presentation of Company Final Accounts. 

B. Management 

a) Management: its nature and scope; The Management Processes; Planning, Organization, Staffing, Directing and Controlling;

b) The Role of a Manager in an Organization. Leadership: The Tasks of a Leader;

c) Leadership Styles; Leadership Theories; A successful Leader versus an effective Leader.

d) Human Resource Development: Concept of HRD; Goals of HRD;

e)Motivation, Morale and Incentives: Theories of Motivation; How Managers Motivate; Concept of Morale; Factors determining morale; Role of Incentives in Building up Morale.

f) 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. 

C. Finance 

1) Financial System

 a) Role and Functions of Regulatory bodies in Financial Sector.

2) Financial Markets

a) Primary and Secondary Markets (Forex, Money, Bond, Equity, etc.), functions, instruments, recent developments.

3) General Topics

a) Basics of Derivatives: Forward, Futures and Swap

b) Recent Developments in the Financial Sector

c) Financial Inclusion-use of technology

d) Alternate source of finance, private and social cost-benefit, Public-Private Partnership

e) Direct and Indirect taxes; Non-tax sources of Revenue, GST, Finance Commission, Fiscal Policy, Fiscal Responsibility and Budget Management Act (FRBM),

f) Inflation: Definition, trends, estimates, consequences, and remedies (control): WPI, CPI -components and trends.

D. 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-

(i) Standard Costing,

(ii) Marginal Costing,

(iii) Budget and Budgetary Control.

4. Lean System and Innovation:-

a)Introduction to Lean System

b) Just-in-Time (JIT)

c) Kaizen Costing

d) 5 Ss

e) Total Productive Maintenance (TPM)

f) Cellular Manufacturing/ One-Piece Flow Production Systems

g) Six Sigma (SS) h) Introduction to Process Innovation and Business Process Re-engineering (BPR). 

E. Companies Act  

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



F. Economics 

a) Demand and Supply, Market Structures, National Income: Concepts and Measurement, Classical & 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

b) Balance of Payments, Foreign Exchange Markets, Inflation, Monetary and Fiscal Policy, Non-banking Financial Institutions

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Quantitative Aptitude
Questions are asked mainly from the following topics/subtopics    

Elementary Mathematics

 

 

 

 

Arithmetic (Number Theory)

 

 

 

 

Number Systems

 

 

 

 

Square Roots 

 

 

 

 

Cube Roots

 

 

 

 

Fractions and Decimals

 

 

 

H.C.F. and L.C.M. 

 

 

 

 

Simplification

 

 

 

 

Variation

 

 

 

 

 

Chain Rule

 

 

 

 

Ratio and Proportion

 

 

 

Average

 

 

 

 

 

Logarithms. 

 

 

 

 

Additional Topics In Arithmetic

 

 

 

Ages

 

 

 

 

 

Boats and Streams

 

 

 

 

Clocks and Calendars

 

 

 

 

Clocks

 

 

 

 

 

Calendars

 

 

 

Mixture and Alligation

 

 

 

Pipes and Cisterns

 

 

 

 

Races and Games

 

 

 

 

Problems on Trains

 

 

 

 

Unitary Method

 

 

 

 

 

Time and Distance

 

 

 

 

Time and Work

 

 

 

 

Work and Wages

 

Commercial Maths

 

 

 

 

 

Interest

 

 

 

 

 

 

Simple Interest

 

 

 

 

Compound Interest

 

 

 

Percentage

 

 

 

 

Profit and Loss

 

 

 

 

Partnership

 

 

 

 

Discounts

 

 

 

 

Mensuration- Areas and Volumes

 

 

 

Area and Perimeter of Plane Figure

 

 

Volume And Surface Area of Solid


Test of Reasoning/Mental Ability/Aptitude
Questions are asked mainly from the following topics/subtopics

 Verbal Tests

 

 

 

 

 

Reasoning Tests

 

 

 

 

 

Analytical Reasoning

 

 

 

Direction and Distance Test

 

 

 

Linear Arrangement Test

 

 

 

Complex Arrangement Test

 

 

 

Analogy Test

 

 

 

 

Classification (Odd Man Out) Test

 

 

Coding Decoding Test 

 

 

 

Series Test

 

 

 

 

Blood Relationships Test

 

 

 

Symbols and Notations

 

 

 

Alphabet Test

 

 

 

 

Data Sufficiency Test

 

 

 

Data Interpretation Test

 

 

Logic Tests

 

 

 

 

 

Syllogism

 

 

 

 

 

Statements Assumptions

 

 

 

Statements Arguments

 

 

 

Statements Conclusions

 

 

 

Statements Action

 

 

Non Verbal Tests

 

 

 

 

 

Problems Based on Symmetry

 

 

 

Problems Based on Visual Ability

 

 

Classification (Non Verbal Tests)

 

 

Series (Non Verbal Tests)

 

 

 

Analogy (Non Verbal Tests)

 

 

English
Questions are asked mainly from the following topics/subtopics

 English Vocabulary

 

 

 

 

Synonyms

 

 

 

Antonyms

 

 

 

Analogies

 

 

 

 

Spelling Mistakes

 

 

English Proficiency

 

 

 

 

Idioms and Phrases

 

 

 

One Word Subsitution

 

 

Sentence Formation

 

 

 

Sentence Completion

 

 

Sentence Improvement

 

 

Sentence Reconstruction

 

 

Rearrangement of  Words In Sentence

 

Rearrangement of Sentence In Paragrph

 

Paragraph Formation

 

 

Paragraph Completion

 

 

Fill in The Blanks

 

 

 

Cloze Tests

 

 

English Usage Errors

 

 

 

Common Errors

 

 

 

Spotting Errors

 

 

 

Inappropriate Usage of Words

 

 

Sentence Correction

 

English Comprehension

 

 

General Awareness  

 General Topics

 

 

 

 

 

 

General Knowledge

 

 

 

 

 

 

Animals

Famous Personalities

 

 

 

Books And Authors

First Largest Longest Etc In World

 

 

Buildings

Inventions And Discoveries

 

 

 

Calendars

Languages

 

 

 

 

Countries

Music

 

 

 

 

 

Currencies

Religions

 

 

 

 

 

Dances

Sanctuaries

 

 

 

 

Disasters

World Organisations

 

 

 

Enviornment

Statistical Data - World

 

 

 

Fashion

Prizes And Awards

 

 

 

 

Famous Places

Trade Awareness

 

 

 

General Studies

Solar System

 

 

 

 

Universe

Earth

 

 

 

 

 

 

Environment

 

 

 

 

 

Pollution

 

 

 

 

 

General Geography

 

 

 

 

 

 

General History

General Concepts (Polity)

 

 

 

General Economics Study

 

 

 

 

 

General Polity

 

 

 

 

 

 

General Science

 

 

 

 

 

 

General Computer Science

 

 

 

 

 

Sports And Recreation 

 

 

 

 

Current Events

 

 

 

 

 

 

Current Events Topic Wise

National

 

 

 

 

 


International 

 

 

 

 

 

Persons Places Awards Authors 

 

 

 

Economy 

 

 

 

 

 

Science And Technology 

 

 

 

 

Sports

 

 

 

 

 

 

Trade Awareness 

 

 

 

 

 

Miscellaneous

 

 

 

 PHASE - II Detailed Syllabus 

https://img.freejobalert.com/uploads/2020/03/Notification-SEBI-Officer-Gr-A-Posts.pdf  

Paper-I 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. 
 

Paper II

Specialized Subject (Legal / Information Technology / Engineering Streams):
Legal Stream:
1. Constitution of India
2. Law of Contracts – Indian Contracts Act, 1872, Specific Relief Act, 1963
3. Company Law - Companies Act, 2013
4. Criminal Law – Indian Penal Code, 1860 along with the Code of Criminal Procedure, 1973
5. Code of Civil Procedure, 1908
6. Jurisprudence
7. Law of evidence – Indian Evidence Act, 1872, The Oaths Act, 1969
8. Administrative law
9. Law of Torts – reference to the Consumer Protection Act, 1986
10. Property law – Transfer of Property Act, 1882, Indian Easements Act, 1882
11. Arbitration and Conciliation – The Arbitration and Conciliation Act, 1996
12. Taxation – important features of the Income Tax Act.
13. Law of Trusts – Indian Trusts Act, 1882 and the Maharashtra Public Trusts Act
14. Important Latin terms and maxims
15. Interpretation of statues
Information Technology Stream:
 

The syllabusfor Paper 2 of Phase II examination for Information Technology Streamis provided below:-

Algorithms : Sorting, Searching, Greedy Algorithms, Dynamic Programming, Backtracking, Divide    and Conquer, Pattern Searching : Language used to test the concepts (C++/JAVA/Python) : Marks (40)

Data Structure : Array, Linked List, Stack, Queue, Binary Tree, Indexing, Binary Search Tree, Heap, Hashing, Matrix : Language used to test the concepts (C++/JAVA/Python) : Marks (40)

String Manipulation : Length, Substring, Regex, Search : Language used to test the concepts (C++/JAVA/Python) : Marks (20)

1. Concepts on databases
2. Programming in Java/ C++/ VB/ SQL
3. Data Warehousing/ Analytical tool (SAS, R, SAP, Oracle/ Microsoft BI)
4. Networking Concepts (LAN/ WAN etc.)
5. Information and Cyber Security/ IT Security/ Network Audit/ IT Act
6. Knowledge on Servers/ Storage
Questions may be related to:
1. Core Java 1.7
2. Java Spring Framework 3.0
3. Hibernate Framework 3.0
4. SOAP Web Service Development
5. Jquery, JSP, HTML
6. Mobile Apps Development
7. BPM Workflow
8. Dashboards and Business Intelligence Reports
9. Database Administration Oracle/ DB2
10. PL/SQL
Engineering Stream - Civil Engineering

1. Building Materials: Stone, Lime, Glass, Plastics, Steel, FRP, Ceramics, Aluminium, Fly Ash, Basic Admixtures, Timber, Bricks and Aggregates: Classification, properties and selection criteria; Cement: Types, Composition, Properties, Uses, Specifications and various Tests; Lime & Cement Mortars and Concrete: Properties and various Tests; Design of Concrete Mixes: Proportioning of aggregates and methods of mix design.

2. Solid Mechanics: Elastic constants, Stress, plane stress, Strains, plane strain, Mohr’s circle of stress and strain, Elastic theories of failure, Principal Stresses, Bending, Shear and Torsion.
3. Structural Analysis: Basics of strength of materials, Types of stresses and strains, Bending moments and shear force, concept of bending and shear stresses; Analysis of determinate and indeterminate structures; Trusses, beams, plane frames; Rolling loads, Influence Lines, Unit load method & other methods; Free and Forced vibrations of single degree and multi degree freedom system; Suspended Cables; Concepts and use of Computer Aided Design.

4. Design of Steel Structures: Principles of Working Stress methods, Design of tension and compression members, Design of beams and beam column connections, built-up sections, Girders, Industrial roofs, Principles of Ultimate load design.
5. Design of Concrete and Masonry structures: Limit state design for bending, shear, axial compression and combined forces; Design of beams, Slabs, Lintels, Foundations, Retaining walls, Tanks, Staircases; Principles of pre-stressed concrete design including materials and methods; Earthquake resistant design of structures; Design of Masonry Structure.
6. Construction Practice, Planning and Management: Construction - Planning, Equipment, Site investigation and Management including Estimation with latest project management tools and network analysis for different Types of works; Analysis of Rates of various types of works; Tendering Process and Contract Management, Quality Control, Productivity, Operation Cost; Land acquisition; Labour safety and welfare.
7. Flow of Fluids, Hydraulic Machines and Hydro Power:
(a) Fluid Mechanics, Open Channel Flow, Pipe Flow: Fluid properties; Dimensional Analysis and Modelling; Fluid dynamics including flow kinematics and measurements; Flow net; Viscosity, Boundary layer and control, Drag, Lift, Principles in open channel flow, Flow controls. Hydraulic jump; Surges; Pipe networks.

(b) Hydraulic Machines and Hydro power: Various pumps, Air vessels, Hydraulic turbines – types, classifications & performance parameters; Power house – classification and layout, storage, pondage, control of supply.

8. Hydrology and Water Resources Engineering: Hydrological cycle, Ground water hydrology, Well hydrology and related data analysis; Streams and their gauging; River morphology; Flood, drought and their management; Capacity of Reservoirs. Water Resources Engineering : Multipurpose uses of Water, River basins and their potential; Irrigation systems, water demand assessment; Resources - storages and their yields; Water logging, canal and drainage design, Gravity dams, falls, weirs, Energy dissipaters, barrage Distribution works, Cross drainage works and head-works and their design; Concepts in canal design, construction & maintenance; River training, measurement and analysis of rainfall.

9. Environmental Engineering:

(a) Water Supply Engineering: Sources, Estimation, quality standards and testing of water and their treatment; Rural, Institutional and industrial water supply; Physical, chemical and biological characteristics and sources of water, Pollutants in water and its effects, Estimation of water demand; Drinking water Standards, Water Treatment Plants, Water distribution networks.

(b) Waste Water Engineering: Planning & design of domestic waste water, sewage collection and disposal; Plumbing Systems. Components and layout of sewerage system; Planning & design of Domestic Waste-water disposal system; Sludge management including treatment, disposal and re-use of treated effluents; Industrial waste waters and Effluent Treatment Plants including institutional and industrial sewage management.

(c) Solid Waste Management: Sources & classification of solid wastes along with planning & design of its management system; Disposal system, Beneficial aspects of wastes and Utilization by Civil Engineers.

(d) Air, Noise pollution and Ecology: Concepts & general methodology.

10. Geo-technical Engineering and Foundation Engineering:

(a) Geo-technical Engineering: Soil exploration - planning & methods, Properties of soil, classification, various tests and inter-relationships; Permeability & Seepage, Compressibility, consolidation and Shearing resistance, Earth pressure theories and stress distribution in soil; Properties and uses of geo-synthetics.

(b) Foundation Engineering: Types of foundations & selection criteria, bearing capacity, settlement analysis, design and testing of shallow & deep foundations; Slope stability analysis, Earthen embankments, Dams and Earth retaining structures: types, analysis and design, Principles of ground modifications.

11. Surveying and Geology: (a) Surveying: Classification of surveys, various methodologies, instruments & analysis of measurement of distances, elevation and directions; Field astronomy, Global Positioning System; Map preparation; Photogrammetry; Remote sensing concepts; Survey Layout for culverts, canals, bridges, road/railway alignment and buildings, Setting out of Curves.

(b) Geology: Basic knowledge of Engineering geology & its application in projects. 12. Transportation Engineering: Highways - Planning & construction methodology, Alignment and geometric design; Traffic Surveys and Controls; Principles of Flexible and Rigid pavements design Tunneling - Alignment, methods of construction, disposal of muck, drainage, lighting and ventilation. Railways Systems – Terminology, Planning, designs and maintenance practices; track modernization.. Harbours – Terminology, layouts and planning. Airports – Layout, planning & design.
Engineering Stream - Electrical Engineering
1. Electrical Materials: Electrical Engineering Materials, crystal structures and defects, ceramic materials, insulating materials, magnetic materials – basics, properties and applications; ferrities, ferro-magnetic materials and components; basics of solid state physics, conductors; Photo-conductivity; Basics of Nano materials and Superconductors.

2. Electric Circuits and Fields: Circuit elements, network graph, KCL, KVL, Node and Mesh analysis, ideal current and voltage sources, Thevenin’s, Norton’s, Superposition and Maximum Power Transfer theorems, transient response of DC and AC networks, Sinusoidal steady state analysis, basic filter concepts, two-port networks, three phase circuits, Magnetically coupled circuits, Gauss Theorem, electric field and potential due to point, line, plane and spherical charge distributions, Ampere’s and Biot-Savart’s laws; inductance, dielectrics, capacitance; Maxwell’s equations.
3. Electrical and Electronic Measurements: Principles of measurement, accuracy, precision and standards; Bridges and potentiometers; moving coil, moving iron, dynamometer and induction type instruments, measurement of voltage, current, power, energy and power factor, instrument transformers, digital voltmeters and multi-meters, phase, time and frequency measurement, Q-meters, oscilloscopes, potentiometric recorders, error analysis, Basics of sensors, Transducers, basics of data acquisition systems.
4. Computer Fundamentals: Number systems, Boolean algebra, arithmetic functions, Basic Architecture, Central Processing Unit, I/O and Memory Organisation; peripheral devices, data representation and programming, basics of Operating system and networking, virtual memory, file systems; Elements of programming languages, typical examples.
5. Basic Electronics Engineering: Basics of Semiconductor diodes and transistors and characteristics, Junction and field effect transistors (BJT, FET and MOSFETS), different types of transistor amplifiers, equivalent circuits and frequency response; oscillators and other circuits, feedback amplifiers.
6. Analog and Digital Electronics: Operational amplifiers – characteristics and applications, combinational and sequential logic circuits, multiplexers, multi-vibrators, sample and hold circuits, A/D and D/A converters, basics of filter circuits and applications, simple active filters; Microprocessor basics- interfaces and applications, basics of linear integrated circuits; Analog communication basics, Modulation and de-modulation, noise and bandwidth, transmitters and receivers, signal to noise ratio, digital communication basics, sampling, quantizing, coding, frequency and time domain multiplexing, power line carrier communication systems.
7. Systems and Signal Processing: Representation of continuous and discrete-time signals, shifting and scaling operations, linear, time-invariant and causal systems, Fourier series representation of continuous periodic signals, sampling theorem, Fourier and Laplace transforms, Z transforms, Discrete Fourier transform, FFT, linear convolution, discrete cosine transform, FIR filter, IIR filter, bilinear transformation.

8. Control Systems: Principles of feedback, transfer function, block diagrams and signal flow graphs, steady-state errors, transforms and their applications; Routh-hurwitz criterion, Nyquist techniques, Bode plots, root loci, lag, lead and lead-lag compensation, stability analysis, transient and frequency response analysis, state space model, state transition matrix, controllability and observability, linear state variable feedback, PID and industrial controllers.
9. Electrical Machines: Single phase transformers, three phase transformers - connections, parallel operation, auto-transformer, energy conversion principles, DC machines - types, windings, generator characteristics, armature reaction and commutation, starting and speed control of motors, Induction motors - principles, types, performance characteristics, starting and speed control, Synchronous machines - performance, regulation, parallel operation of generators, motor starting, characteristics and applications, servo and stepper motors.
10. Power Systems: Basic power generation concepts, steam, gas and water turbines, transmission line models and performance, cable performance, insulation, corona and radio interference, power factor correction, symmetrical components, fault analysis, principles of protection systems, basics of solid state relays and digital protection; Circuit breakers, Radial and ring-main distribution systems, Matrix representation of power systems, load flow analysis, voltage control and economic operation, System stability concepts, Swing curves and equal area criterion. HVDC transmission and FACTS concepts, Concepts of power system dynamics, distributed generation, solar and wind power, smart grid concepts, environmental implications, fundamentals of power economics.
11. Power Electronics and Drives: Semiconductor power diodes, transistors, thyristors, triacs, GTOs, MOSFETs and IGBTs - static characteristics and principles of operation, triggering circuits, phase control rectifiers, bridge converters - fully controlled and half controlled, principles of choppers and inverters, basis concepts of adjustable speed dc and ac drives, DC-DC switched mode converters, DC-AC switched mode converters, resonant converters, high frequency inductors and transformers, power supplies.




 

 

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