Regulation 4 - Enquiry for contraventions of the regulations - Securities And Exchange Board of India (Procedure For Holding Enquiry By Enquiry Officer And Imposing Penalty) Regulations, 2002

Enquiry for contraventions of the regulations 4. An enquiry for the purpose of passing an order under these regulations may be held for contravention of any of the provisions of 1 [ the following regulation, as amended from time to time ] - (a) the Securities and Exchange Board of India (Stock-brokers and Sub-brokers) Regulations, 1992; (b) the Securities and Exchange Board of India (Insider Trading) Regulations, 1992; (c) the Securities and Exchange Board of India (Merchant Bankers) Regulations, 1992; (d) the Securities and Exchange Board of India (Portfolio Managers) Regulations, 1993; (e) the Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) Regulations, 1993; (f) the Securities and Exchange Board of India (Underwriters) Regulations, 1993; (g) the Securities and Exchange Board of India (Debenture Trustees) Regulations, 1993; (h) the Securities and Exchange Board of India (Bankers to an Issue) Regulations, 1994; (i) the Securities and Exchange Board of India (Prohibition of Fraudulent and Unfair Trade Practices relating to Securities Market) Regulations, 1995; (j) the Securities and Exchange Board of India (Foreign Institutional Investors) Regulations,1995; (k) the Securities and Exchange Board of India (Custodian of Securities) Regulations, 1996; (l) the Securities and Exchange Board of India (Depositories and Participants) Regulations, 1996; (m) the Securities and Exchange Board of India (Venture Capital Funds) Regulations, 1996; (n) the Securities and Exchange Board of India (Mutual Funds) Regulations, 1996; (o) the Securities and Exchange Board of India (Substantial Acquisition of Shares and Takeovers) Regulations, 1997; (p) the Securities and Exchange Board of India (Buy-Back of Securities) Regulations, 1998; (q) the Securities and Exchange Board of India (Credit Rating Agencies) Regulations, 1999; (r) the Securities and Exchange Board of India (Collective Investment Schemes) Regulations, 1999; (s) the Securities and Exchange Board of India (Foreign Venture Capital Investors) Regulations, 2000. ********* Notes 1. Inserted by the SEBI (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty (Second Amendment) Regulations, 2005, w.e.f. 7-6-2005.