Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) Rules, 1992

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..... RS) RULES, 1992 S.O. 627(E).- In exercise of the powers conferred by section 29 of the Securities and Exchange Board of India Act, 1992 (15 of 1992) the Central Government hereby makes the following rules, namely - 1. Short title and commencement. - (1) These rules may be called the Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) Rules, 1992 (2) They shall come i .....

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..... for assisting the investors in buying, selling or dealing in securities through such stock-brokers; (g) regulations means the Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) Regulations, 1992. 3. Not to act as stock-broker or sub-broker without registration. - No stock-broker or sub-broker shall buy, sell, deal in securities, unless he holds a certificate granted by .....

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..... rovided in the regulations, and (e) he shall take adequate steps for redressal of grievances of the investors within one month of the date of the receipt of the complaint and keep the Board informed about the number, nature and other particulars of the complaints received from such investors. 5. Conditions of grant of certificate to sub-broker:- (1) The Board may grant a certificate to a sub .....

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