Regulation 3 - Application for grant of certificate of registration - Securities and Exchange Board of India (Bankers to an Issue) Regulations, 1994

CHAPTER II REGISTRATION OF BANKERS TO AN ISSUE 3. Application for grant of certificate 1 [of 2 [***] registration]. 7 [ (1) No person shall act as a banker to an issue, unless a certificate of registration has been obtained from the Board under these regulations. ] 9 [ (2) ] An application 6 [ **** ] for grant of a certificate 3 [of 4 [***] registration] as banker to an issue shall be made to the Board in Form A. 5 [ 9 [ (3) ] An application for registration made under sub-regulation 8 [ (2) ] shall be accompanied by a non-refundable application fee as specified in Schedule II.] 9 [ (4) ] Notwithstanding anything contained in sub-regulation 8 [ (2) ] , any application made prior to coming into force of these regulations containing such particulars or as near thereto as mentioned in Form A shall be treated as an application made in pursuance of sub-regulation 8 [ (2) ] and dealt with accordingly. ************* NOTES:- 1 Inserted by the Securities and Exchange Board of India (Bankers to an Issue) (Amendment) Regulations, 2011, w.e.f.05-07-2011. 2 The word initial was omitted by the Securities and Exchange Board of India (Change In Conditions Of Registration Of Certain Intermediaries) (Amendment) Regulations, 2016 w.e.f. 08-12-2016. 3 Inserted by the Securities and Exchange Board of India (Bankers to an Issue) (Amendment) Regulations, 2011, w.e.f. 05-07-2011. 4 The word initial was omitted by the Securities and Exchange Board of India (Change In Conditions Of Registration Of Certain Intermediaries) (Amendment) Regulations, 2016 w.e.f. 08-12-2016. 5 Inserted by the Securities and Exchange Board of India (Bankers to an Issue) (Amendment) Regulations, 2006, w.e.f, 7-9-2006. 6. Omitted vide Notification No. SEBI/LAD-NRO/GN/2021/26 dated 30-07-2021 before it was read as by scheduled bank 7. Inserted vide Notification No. SEBI/LAD-NRO/GN/2024/211 dated 20-11-2024 8. Substituted vide Notification No. SEBI/LAD-NRO/GN/2024/211 dated 20-11-2024 before it was read as, (1) 9. Substituted vide Notification No. SEBI/LAD-NRO/GN/2024/211 dated 20-11-2024 before it was read as, (1) (1A) and (2)