Stock Broker

Deposit Requirements for members of the Debt Segment

CIRCULAR CIR/MRD/DRMNP/37/2013                                           December 19, 2013 To All recognized Stock Exchanges and Clearing Corporations Dear Sir / Madam, Sub: Deposit Requirements for members of the Debt Segment 1. SEBI vide circular no CIR/MRD/DP/03/2013 dated January 24, 2013 prescribed guidelines for providing dedicated debt segment on stock exchanges. Subsequently, SEBI (Stock Brokers and Sub-Brokers) Regulations was amended to enable registration… Read More

Tags: BusinessClearing CorporationCorporationDebtJanuary 24 2013Proprietary tradingRegulationSecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992Stock BrokerStock exchangeStockbroker

SEBI Simplifies registration requirements for Stock Brokers

CIRCULAR CIR/MIRSD/8/2013 September 30, 2013 All Recognized Stock Exchanges and Clearing Corporations Dear Sir / Madam, Subject: Simplification of registration requirements for Stock Brokers 1. Please find enclosed the Notification No. LAD-NRO/GN/2013-14/25/24775 dated September 27, 2013 amending the SEBI (Stock Brokers and Sub-Brokers) Regulations, 1992 (hereinafter referred to as Broker Regulations). As per the amendment,… Read More

Tags: IndiaRegulationSEBISecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992Stock BrokerStock exchangeStockbroker

SEBI circular w.r.t. Investor Grievance Redressal Mechanism

CIRCULAR CIR/MRD/ICC/30/2013                          26.09.2013 The Managing Director/Executive Director, All Stock Exchanges. Dear Madam/Sir, Subject: Investor Grievance Redressal Mechanism 1) Reference may be made to CIR/MRD/DSA/03/2013 dated January 20, 2012, CIR/MRD/DSA/24/2010 dated August 11, 2010 and MRD/DoP/SE/Cir-38/2004 dated October 28, 2004. 2) With a view… Read More

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