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SEBI

Home Acts & Rules SEBI Regulation Securities and Exchange Board of India (Self Regulatory Organisations) Regulations, 2004 Chapters List This

Securities and Exchange Board of India (Self Regulatory Organisations) Regulations, 2004
Chapter: I
PRELIMINARY
Regulation 1 : Short title and commencement
Regulation 2 : Definitions
Chapter: II
RECOGNITION OF SELF REGULATORY ORGANIZATION
Regulation 3 : Recognition of Self Regulatory Organization
Regulation 4 : Eligibility criteria
Regulation 4A : Grant of in-principle approval
Regulation 5 : Grant of recognition as a Self Regulatory Organization
Regulation 6 : Application to conform to the requirements
Regulation 7 : Furnishing of information, clarification and personal representation
Regulation 8 : Conditions of certificate and validity period
Regulation 9 : Renewal of certificate
Regulation 10 : Procedure where certificate is not granted
Regulation 11 : Effect of refusal to grant certificate
Chapter: III
COMPOSITION AND FUNCTIONS OF SELF REGULATORY ORGANIZATIONS
Regulation 12 : Composition of Board of Directors
Regulation 13 : Membership of Self Regulatory Organization
Regulation 14 : Functions and Obligations of Self Regulatory Organization
Regulation 15 : Governing norms of Self Regulatory Organization
Chapter: IV
INSPECTION AND AUDIT
Regulation 16 : Board's right to inspect.
Regulation 17 : Procedure for inspection
Regulation 18 : Obligations of Self Regulatory Organization on inspection by the Board
Regulation 19 : Submission of report to the Board.
Regulation 20 : Appointment of auditor
Regulation 21 : Power of the Board to call for periodical returns or direct inquiries to be made
Chapter: V
ACTION IN CASE OF DEFAULT
Regulation 22 : Obligation of Board of Directors to take disciplinary action against a member if so directed by the Board.
Regulation 23 : Withdrawal of recognition
Regulation 24 : Action in case of violation
SCHEDULE
Schedule - I : Application for recognition / renewal of a Self Regulatory Organization under Regulation 3 of Securities and Exchange Board of India (Self Regulatory Organizations) Regulations, 2003.
Schedule - II : Amount to be paid as Fees
 
 
 

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