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TMI BlogSecurities and Exchange Board of India (Stock Brokers and Sub-Brokers) (Second Amendment) Regulations, 2011.X X X X Extracts X X X X X X X X Extracts X X X X ..... rokers) (Second Amendment) Regulations, 2011 F.NO. LAD-NRO/GN/2011-12/19/26273.- In exercise of the powers conferred by Section 30 of the Securities and Exchange Board of India Act, 1992 (15 of 1992), the Board hereby makes the following Regulations to further amend the Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) Regulations, 1992, namely :- 1. These Regulations ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ead Code of Conduct for Sub-Brokers , in clause C, sub-clause (4) shall be omitted. U.K. SINHA, Chairman [ADVT III/4/69-ZB/11/Exty.] 1. Securities and Exchange of India (Stock Brokers and Sub-Brokers) Regulations, 1992, the Principal Regulations, was published in the Gazette of India on October 23, 1992 vide No. S.O.780 (E). 2. The Principal Regulations were subsequently amended ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ations, 2000 vide No. S.O.278(E). (h) August 30, 2000 by SEBI (Stock Brokers and Sub-Brokers) (Second Amendment) Regulations, 2000 vide No. S.O. 787(E) (i) May 29, 2001 by SEBI (Investment Advice by Intermediaries) (Amendment) Regulations, 2001 vide No. S.O.476 (E). (j) November 15, 2001 by SEBI (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2001 vide No. S.O. 1128(E). ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... . S.O. 1235(E). (q) September 7, 2006 by the Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) (Second Amendment) Regulations, 2006 vide No. S.O. 1447(E). (r) September 25, 2006 by the Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) (Third Amendment) Regulations, 2006 vide No. S.O. 1600(E). (s) May 26, 2008 by the Securities and Exchang ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... 2010-11/06/1097. (x) April 6,2011 by the Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2011 vide Notification No. F. No. LAD-NRO/GN/2011-12/01/11486. (y) April 19, 2011 by the Securities and Exchange Board of India (Change in Conditions of Registration of Certain Intermediaries) (Amendment) Regulations, 2011 vide Notification No. LAD-NR ..... X X X X Extracts X X X X X X X X Extracts X X X X
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