Schedule - I - Forms - Securities and Exchange Board of India (Stock Brokers) Regulations, 1992

SCHEDULE I FORMS 1 [FORM A [Regulation 3] Application Form for Registration as Stock Broker with Securities and Exchange Board of India Table 1: Sl. No. Particulars Details 1 Name of Member with Code No. 2 Trade name of Member 3 Name of the Stock Exchange/ segment of which the applicant is the member 4 Date of admission to exchange/ segment 5 Address of Member 6 Fax Number(s), Phone Number(s) of office and residence and email address 7 Form of Organization-Sole proprietorship, partnership, corporate body, financial institution 2 [,others (please specify)] 8 Net worth along with supporting document 3 [9 PAN of the applicant] Table 2: Details of proprietor/ partners/ directors Sl. No. Names Age PAN Educational Qualifications Experience in derivatives trading or securities market, as applicable 4 [****] Table 4: Details of sales personnel or approved user who has passed any certification programme Sl. No. Name Date of test Percentage Certificate No. Other details: 1. Please furnish a copy of the memorandum and articles of association or the partnership deed, as the case may be. 2. 5 [****] 3. If the applicant intends to clear and settle his trades through a clearing member, the applicant is required to furnish the name and details of the clearing member along with a copy of MoU/ agreement/ contract with them for the same. 4. Whether the application is accompanied by a requisite fee as per Schedule V of the Regulations as applicable to the applicant. Undertaking: 5. Whether the applicant or its director or partners, any time convicted of any economic offence? If so, furnish the details. 6. Whether the applicant or its directors or partners, declared insolvent or declared defaulter by any exchange? If so, furnish details. 7. Whether the applicant or its directors or partners at any time subjected to any proceedings or penalty by the Board under SEBI Act or any of the regulations framed under the SEBI Act? If so, furnish the details. 8. Whether any disciplinary action has been initiated/ taken or penalty has been imposed by SEBI/ stock exchange(s)/ clearing corporation(s) or any other regulatory authority? If yes, furnish details. Also provide the details of corrective steps taken thereon Declaration: I declare that the information given in this form is true and in the event of any information furnished is false, misleading or suppression of facts, my certificate of registration is liable to be cancelled by SEBI without assigning any reasons whatsoever. Dated..................... Signature RECOMMENDATION OF THE STOCK EXCHANGE This is to certify that . is a member of this Stock Exchange and is recommended for registration with the Securities and Exchange Board of India. Signature : Name : Designation :] FORM AA 6 [***] FORM AB 7 [***] FORM AC 8 [***] 9 [FORM AD [Regulation 10A] Application Form for Registration as Clearing Member with Securities and Exchange Board of India Table 1: Sl. No. Particulars Details 1. Name of Member with Code 2. Trade name of Member 3. Name of the Clearing Corporation of which the applicant is the member 4. Date of admission to Clearing Corporation 5. Address of Member 6. Fax Number(s), Phone Number(s) of office and residence and email address 7. Form of Organization-Sole proprietorship, partnership, corporate body, financial institution 10 [,others (please specify)] 8. Net worth along with supporting document 11 [9. PAN of the applicant] Table 2: Details of proprietor/ partners/ directors Sl.No Names Age PAN Educational Qualifications Experience in derivatives trading or securities market, as applicable 12 [***] Other details: 1. Please furnish a copy of the memorandum and articles of association or the partnership deed, as the case may be. 2. Whether the application is accompanied by a requisite fee as per Schedule V of the Regulations as applicable to the applicant. Undertakings: 3. Whether the applicant or its director or partners, any time convicted of any economic offence? If so, furnish the details. 4. Whether the applicant or its directors or partners, declared insolvent or declared defaulter by any exchange? If so, furnish details. 5. Whether the applicant or its directors or partners at any time subjected to any proceedings or penalty by the Board under SEBI Act or any of the regulations framed under the SEBI Act? If so, furnish the details. 6. Whether any disciplinary action has been initiated/ taken or penalty has been imposed by SEBI/ stock exchange(s)/ clearing corporation(s) or any other regulatory authority? If yes, furnish details. Also provide the details of corrective steps taken thereon. Declaration: I declare that the information given in this form is true and in the event of any information furnished is false, misleading or suppression of facts, my certificate of registration is liable to be cancelled by SEBI without assigning any reasons whatsoever. Dated..................... Signature RECOMMENDATION OF THE CLEARING CORPORATION This is to certify that . is a member of this Clearing Corporation and is recommended for registration with the Securities and Exchange Board of India. Signature: Name: Designation:] FORM B 19 [ **** ] FORM C 19 [ **** ] FORM CA 19 [ **** ] 15 [FORM D [Regulations 6 and 10B] CERTIFICATE OF REGISTRATION In exercise of the powers conferred by sub-section (1) of section 12 of the Securities and Exchange Board of India Act, 1992, read with the rules and regulations made thereunder, the Board hereby grants a certificate of registration to...................................................................... as a stock broker/ proprietary trading member/ clearing member for carrying on the activities of buying, selling or dealing in securities/ clearing and settlement of trades and for carrying on such other activities as are permitted by stock exchange(s)/ clearing corporation(s), subject to the conditions specified therefor, from time to time, by the Board. Registration number allotted is as under: .................................................................... This certificate shall be valid till it is suspended or cancelled in accordance with the Regulations. Date : ................................ By order For and on behalf of Securities and Exchange Board of India] FORM DA 16 [***] FORM DB 17 [***] FORM DC 18 [***] FORM E Securities and Exchange Board of India (Stock Brokers and Sub-brokers) Regulations, 1992 [Regulation 12] Certificate of Registration In exercise of the powers conferred by sub-section (1) of section 12 of the Securities and Exchange Board of India Act, 1992, read with the rules and regulations made thereunder, the Board hereby grants a certificate of registration to...................as a Sub-broker subject to the rules and in accordance with the regulations. Registration number allotted is as under: ...................................................................................................................................... ................................................. This certificate shall be valid till it is suspended or cancelled in accordance with the regulations. Date:............... By Order For and on behalf of Securities and Exchange Board of India ************ NOTES:- 1 Substituted by the SEBI (Stock Brokers and Sub-brokers) (Second Amdt.) Regulations,2013 w.e.f 27.09.2013 2 Inserted by the SEBI (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2014 w.e.f. 08.10.2014. 3 Inserted by the SEBI (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2014 w.e.f. 08.10.2014 4 Table 3omitted by the SEBI (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2014 w.e.f. 08.10.2014. 5 Omitted by the SEBI (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2014 w.e.f. 08.10.2014 6 Omitted by the SEBI (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2014 w.e.f. 08.10.2014 7 Omitted by the SEBI (Stock Brokers and Sub-brokers) (Second Amdt.) Regulations,2013 w.e.f 27.09.2013 8 Omitted by the SEBI (Stock Brokers and Sub-brokers) (Second Amdt.) Regulations,2013 w.e.f 27.09.2013 9 Form AD inserted by the SEBI (Stock Brokers and Sub-brokers) (Second Amdt.) Regulations,2013 w.e.f 27.09.2013 10 Inserted by the SEBI (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2014 w.e.f. 08.10.2014 11 Inserted by the SEBI (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2014 w.e.f. 08.10.2014 12 Table 3 omitted by the SEBI (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2014 w.e.f. 08.10.2014 13 Inserted by the SEBI (Stock Brokers and Sub-brokers) (Amendment) Regulations, 2003, w.e.f. 23-09-2003. 14 Inserted by the SEBI (Stock Brokers and Sub-brokers) (Amendment) Regulations, 2000, w.e.f. 14-03-2000. 15 Substituted by the SEBI (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2014 w.e.f. 08.10.2014. 16 Omitted by the SEBI (Stock Brokers and Sub-brokers) (Second Amdt.) Regulations,2013 w.e.f 27.09.2013 17 Omitted by the SEBI (Stock Brokers and Sub-brokers) (Second Amdt.) Regulations,2013 w.e.f 27.09.2013 18 Omitted by the SEBI (Stock Brokers and Sub-brokers) (Second Amdt.) Regulations,2013 w.e.f 27.09.2013 19. Omitted vide Notification No. SEBI/LAD-NRO/GN/2018/27 dated 30-07-2018 w.e.f. 01-04-2019 before it was read as, FORM B Securities and Exchange Board of India (Stock Brokers and Sub-brokers) Regulations, 1992 [Regulation 11] Application Form for Registration as a Sub-broker with Securities and Exchange Board of India 1. Name of applicant sub-broker: 2. Trade name of sub-broker, firm, corporate body. 3. Form of organisation-sole proprietorship, partnership, corporate body. Please give names of proprietor, all partners, directors etc. 4. Educational qualifications of proprietor, partners, directors, etc. Name Status Qualifications 5. Name of the member-broker and Stock Exchange to which applicant is affiliated. 6. Date of acquiring sub-brokership 7. Infrastructural arrangements-indicate fax, telex, phone number of offices and residential numbers. Also indicate the number of employees. Office Address Phone No. Telex No. Fax No. Residential Phone Nos. of proprietor, partners, directors, etc. 8. Number of branch offices and their location with phone, telex and fax numbers. I certify that the information given in this application form is true to the best of my/our knowledge and belief. Recommendation letter from the stock broker to whom I/we am/are affiliated and two references, including one from the banker as required are enclosed. ............................... Date.................... Signature Recommendation of the Stock Exchange This is to certify that...............is a 13 [recognised] sub-broker affiliated to...............member broker of this Exchange. The application is recommended/not recommended for registration by the Board. Authorised Signatory Signature .............................. Stock Exchange FORM C Securities and Exchange Board of India (Stock Brokers Sub-brokers) Regulations, 1992 Recommendation Letter to be given by the Member with whom the Sub-broker is Affiliated: To The.................Stock Exchange Dear Sirs, I/We understand that...........son of............aged...............years, residing at..............and attached to me at...............for carrying on the shares and securities business as a sub-broker. I/We confirm that............is transacting business through me for a period from.............and he is a fit and proper person to be registered as a sub-broker. I/We also confirm that he is known to me/us for well over.........years and he has got good financial background, moral character and integrity. He has been transacting business frequently and was meeting the market commitments as and when they arise. I/We hereby recommend his application for granting registration for carrying on shares and securities business as sub-broker. I/We also wish to state that whatever the information that has been submitted is true to the best of my/our knowledge and if at a later date any material information comes to my/our knowledge subsequent to the submission of this application I/we undertake to keep informed about the same. I/We member/s of............Exchange hereby agree to recommend the above mentioned applicant. Yours faithfully, Signature of Member/s 14 [FORM CA] Securities and Exchange Board of India (Stock Brokers and Sub-brokers) Regulations, 1992 Recognition letter to be issued by the Stock Exchange To, The Securities and Exchange Board of India, ............................................. ............................................. Mumbai. Dear Sir, This is to certify that . has been recognized as a sub-broker by this Exchange being a sub-broker affiliated to member broker ..of this Exchange. Place: Authorized Signatory Date: For and on behalf of .........Exchange.