Stockbroker

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

Disclosure of Investor Complaints on websites of Stock Exchanges

CIRCULAR CIR/MIRSD/11/2013 October 28, 2013 To All Recognized Stock Exchanges Dear Sir / Madam, Sub: Disclosure of Investor Complaints on websites of Stock Exchanges 1. Please refer to SEBI Circular no. MRD/DoP/SE/Cir-10/2009 dated September 03, 2009 on the captioned subject which inter alia prescribes the formats for disclosing the details of complaints lodged by clients/investors… Read More

Tags: CircleComplaintExchangeSEBISecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992Stock 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

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