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1. Most Important Terms and Conditions (MITC) - uniform documents for formalizing the broker-client relationship - Circular

2. Modification in Cyber Security and Cyber Resilience framework of Stock Exchanges, Clearing Corporations and Depositories - Circular

3. Naming / Tagging of demat accounts maintained by Stock Brokers - all demat accounts maintained by stock brokers should be appropriately tagged - Circular

4. Expulsion against the appellant, from the membership of the National Stock Exchange of India Limited - Schedule­ II of the SEBI (Stock Brokers and Sub­ Brokers)...

5. Short deduction / collection of Security Transaction Tax (STT) - Liability of National Stock Exchange (NSE) - On occasions where client codes for institutional trades...

6. Implementation of Circular on ‘Guidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011’ - Circular

7. Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2002.

8. Revocation of Customs Broker Licence - exporters were non-existent - The responsibility of the Customs Broker under Regulation 10(n) does not include keeping a...

9. Guidelines for seeking NOC by Stock Brokers / Clearing Members for setting up Wholly Owned Subsidiaries, Step Down Subsidiaries, Joint Ventures in GIFT IFSC - Circular

10. Extension of deadline for implementation of the circular on Stewardship Code for all Mutual Funds and all categories of AIFs due to the CoVID– 19 pandemic - Circular

11. Revocation of Customs Broker license - Regulation 10(n) requires the Customs Broker to verify correctness of Importer Exporter Code (IEC) number, Goods and Services Tax...

12. Stock Broker - The conjoint reading of the expression “a certificate” as referred to in Section 12(1) of the Act read with the scheme of Rules, 1992 and Regulations...

13. Stock broker which requires multiple registrations to operate on more than one stock exchange(s) or a single registration will suffice for all the stock exchanges -...

14. Revocation of Customs Broker License - once verification of the address is complete, if the client moves to a new premises and does not inform the authorities or does...

15. Segregation of the funds and securities of client - The submission that the money was withdrawn from one account and credited to another account was on the strength of...