This document discusses stock brokerage and how to become a stock broker. It explains that stock brokers buy and sell stocks on behalf of clients, advising them on market fluctuations. To become a broker requires registering with the Securities and Exchange Board of India (SEBI) and passing exams. Brokers earn commissions from trades and charge fees to clients. Their responsibilities include securing client funds, providing trading platforms, and complying with ethics regulations.

1. BUSSINESS PLANS
STOCK
BROKERAGE
MI HARI PRAKASH
IX-A

2. TOPICS DISCUSSED
2
• WHAT IS STOCK BROKERAGE
• HOW TO BECOME A STOCK BROKERAGE PERSON AND REQUIRMENTS
• HOW IT WORKS ?
• ROLES & FUNCTION OF BROKER
• BROKERS CLINTS FUNCTION
• RESPONSIBILITY OF BROKER AND ETHICS.
• HOW BROKER’S EARN THE MONEY
• UNIQUE STRATEGIES
• CONCLUSION

3. WHAT IS STOCK
BROKERAGE ?
Stock brokerage is nothing but where authorized
SEBI(The Securities and Exchange Board of
India )people are involved in the buying and selling of
stocks in the market, mainly for their clients. They
always remain in touch with their clients, constantly
updating them about the fluctuations in the market
and advise them when to buy & sell and at what
rates. At the same time, stock brokers also ensure that
their stock trading company also makes maximum
profit in the long run. You can work as a full service
broker.
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4. HOW TO BECOME A STOCK
BROKERAGE PERSON AND
REQUIRMENTS
First and foremost - you need to register and become a
member of a stock exchange. You must also register
with the Securities and Exchange Board of India (SEBI).
SEBI governs all the stock brokers, protects the rights
of the investors and acts like a regulatory body of the
ever-fluctuating market. We need to Write Exams on it
and get qualified so we get the license for public
suggestions.
The minimum educational qualification required to
become a stock broker is a graduation with at least 2
years of experience in a stock broking. Minimum : 21
age.
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5. HOW IT WORKS ?
After getting the SEBI license, Broker will
become apart SEBI so u can start a business so
people will trust the broker. Second, we need to
get a GSTIN (Goods and Service Tax
identification Number) and name the company
and promote it in social media with our past
trade history, make a Whatsapp group and
Telegram. If 100 people were interested in the
Idea so u say them to make a Demant Account
in Angle Broking or some other apps and collect
info of the 100 people. Then ask them to
connect their Angle broking account with the
Broker’s account so he/she could trade for
them and make profit for them. When the client
books profit he says to his friends so this
connects on and makes a Block chain.
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6. 6
ROLES & FUNCTION OF
BROKER
Main roles :-
Buying and selling of shares
and other securities
Provide advisory service
Provide margin
Brokering other securities

7. BROKERS CLINTS FUNCTION
 Client Registration Documents
• Contract documents with Terms and Condition
• Know Your Client (KYC) Documents and Verification
• Member Constituent Agreement (MCA) Documents
 Contract Notes
• Unique Client Code (UCC) allotment
• Segregation of Bank Accounts
• Segregation of DEMANT (Benificiary) account
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8. RESPONSIBILITY OF
BROKER AND ETHICS
• Security
• Deposit and Withdrawal
• Trading Platform
• Customer Service
• News about market
• Clients Capital
• Profit Booking
• Duty of fair Dealing
• Duty of best Execution
• Customer Confirmation
• Restrictions on Insider Trading
• Duty of Loyalty
• Authorization for Trading
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9. 9
HOW BROKER’S EARN THE MONEY
• He is a Stock Brokerage Person
SEBI Certified.
• This is the Angel Broking interface
(Blurred due to personal info).
• Brokerage Commission
• Margin Interest
• Service Charge
Some Broker’s they ask to pay a total amount of 12k,15k and
trade for lifetime which is much profitable if we have more than
5000 Clients. Average ; 4-10 Lakhs per month while starting.
As our Budget is 1 crore, we need to deposit our money in
SEBI as security. However, we will remain with more money
left over with that we need to hire people, rent a office,
Computers, furniture etc. The remaining money will invested
in stock and will become Emergency backup.
SEBI LICENCE - 25 LAKHS
COMPANY EXPENSE -20
LAKHS
OTHER EXPENSE –10
LAKHS
TOTAL - 55 LAKHS

10. 10
 News trading strategy
End-of-day trading strategy
Swing trading strategy
Day trading strategy
Trend trading strategy
Scalping trading strategy
Position trading strategy
UNIQUE
STRATEGIES
In First , we can show low commission on
trading and attract people to take our
Brokerage.
Give them day-to-day update so they can feel
risk free in their capital amount and give them
personal info ideas on personal trade.

11. 11
No Job is easy ,everything is risk .Stock
brokerage is too risky because they handle the
amount of the public in forms of stocks.
No one can predict the future and invest. Its all
about which company have a potentially to
survive in any situation like (COVID) to keep a bull
market and increase their stocks prices. Stock
brokers work 24/7 working on better investment
and cracking top secret news of company. All
work needs Man Power , mainly stock brokers.
SEBI rules should be followed properly otherwise
we need to face the consequence.
Last But not least our Capital is at risk
CONCLUSION

12. THANK
YOU!
MI HARI PRAKASH
Email
mihariprakash203@gmail.com
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