9911796707
TMI BlogSecurities and Exchange Board of India (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2014X X X X Extracts X X X X X X X X Extracts X X X X ..... , 1. These regulations may be called the Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2014. 2. They shall come into force on the date of their publication in the Official Gazette. 3. In the Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) Regulations, 1992, (I) in regulation 3, - (i) for sub-regulation (1), the following shall be substituted, namely- (1) No person shall act as a stock broker, unless he obtains a certificate of registration from the Board: Provided that no separate registration shall be required for a clearing member registered with the Board to act as a stock broker in a stock exchange of which he is admitted as a member, subjec ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... grant of approval. (III) in regulation 10A, - (i) for sub-regulation (1), the following shall be substituted, namely,- (1) No person shall act as a clearing member, unless he obtains a certificate of registration from the Board: Provided that no separate registration shall be required for a stock broker registered with the Board to act as a clearing member in a clearing corporation of which he is admitted as a member, subject to grant of approval by the concerned clearing corporation. Explanation .-For the purpose of this sub-regulation, it is clarified that no separate registration shall be required for a clearing member registered with the Board to operate in more than one clearing corporation, of which he is admitted ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... er Serial No. 8, the following Serial No. shall be inserted, namely- 9. PAN of the applicant (B) Table 3 shall be omitted; (C) In 'Other details' para 2 shall be omitted; (ii) Form AA shall be omitted; (iii) in Form AD,- (A) in Table 1- (a) in Serial No. 7, after the words financial institution the words and symbols ,others (please specify) shall be inserted; (b) after Serial No. 8, the following Serial No. shall be inserted, namely- 9. PAN of the applicant (B) Table 3 shall be omitted; ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... er 28, 1995 by the SEBI (Payment of Fees) (Amendment) Regulations, 1995 vide S.O. No. 939 (E). (b) January 5, 1998 by SEBI (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 1998 vide S.O. No. 13 (E). (c) January 21, 1998 by SEBI (Stock Brokers and Sub-Brokers) (Second Amendment) Regulations, 1998 vide S.O. No. 75 (E). (d) December 16, 1998 by SEBI (Stock Brokers and Sub-Brokers) (Third Amendment) Regulations, 1998 vide S.O. No. 1078 (E). (e) July 6, 1999 by SEBI (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 1999 vide S.O. No. 541 (E). (f) March 14, 2000 by SEBI (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2000 vide S.O. No. 234 (E). (g) March 28, 2000 by SEBI (Appeal to Securities Appellate Tr ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... nt) Regulations, 2006 vide S.O. No. 1600(E). (s) May 26, 2008 by the Securities and Exchange Board of India (Intermediaries) Regulations, 2008 vide Notification No. LAD-NRO/GN/2008/11/126538. (t) August 11, 2008 by the Securities and Exchange Board of India (Stock Brokers and Sub Brokers) (Amendment) Regulations, 2008 vide Notification No. LADNRO/GN/2008/20/134766. (u) June 29, 2009 by the Securities and Exchange Board of India (Payment of Fees) (Amendment) Regulations, 2009 vide Notification No. LADNRO/ GN/2009- 10/11/167759. (v) November 19, 2009 by the Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2009 vide Notification No. LADNRO/GN/2009-10/21/183853. (w) April 13, 2010 by ..... X X X X Extracts X X X X X X X X Extracts X X X X
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