| Chapter: I |
| PRELIMINARY |
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Section 1 |
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Short title, extent and commencement
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Section 2 |
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Definitions
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| Chapter: II |
| ESTABLISHMENT OF THE SECURITIES AND EXCHANGE BOARD OF INDIA |
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Section 3 |
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Establishment and incorporation of Board
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Section 4 |
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Management of the Board
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Section 5 |
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Term of office and conditions of service of Chairman and members of the Board
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Section 6 |
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Removal of member from offic
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Section 7 |
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Meetings
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Section 8 |
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Vacancies, etc., not to invalidate proceedings of Board
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Section 9 |
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Officers and employees of the Board
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Section 7A |
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Member not to participate in meetings in certain cases
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| Chapter: III |
| TRANSFER OF ASSETS, LIABILITIES, ETC., OF THE EXISTING SECURITIES AND EXCHANGE BOARD TO THE BOARD |
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Section 10 |
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Transfer of assets, liabilities, etc., of existing Securities and Exchange Board to the Board
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| Chapter: IV |
| POWERS AND FUNCTIONS OF THE BOARD |
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Section 11 |
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Functions of Board
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Section 11A |
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Board to regulate or prohibit issue of prospectus, offer document or advertisement soliciting money for issue of securities
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Section 11AA |
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Collective investment scheme
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Section 11B |
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Power to issue directions and levy penalty
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Section 11C |
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Investigation
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Section 11D |
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Cease and desist proceedings
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| Chapter: V |
| REGISTRATION CERTIFICATE |
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Section 12 |
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Registration of stock brokers, sub-brokers, share transfer agents, etc
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| Chapter: VA |
| PROHIBITION OF MANIPULATIVE AND DECEPTIVE DEVICES, INSIDER TRADING AND SUBSTANTIAL ACQUISITION OF SECURITIES OR CONTROL |
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Section 12A |
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Prohibition of manipulative and deceptive devices, insider trading and substantial acquisition of securities or control
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| Chapter: VI |
| FINANCE, ACCOUNTS AND AUDIT |
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Section 13 |
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Grants by the Central Government
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Section 14 |
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Fund
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Section 15 |
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Accounts and audit
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| Chapter: VIA |
| PENALTIES AND ADJUDICATION |
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Section 15A |
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Penalty for failure to furnish information, return, etc
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Section 15B |
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Penalty for failure by any person to enter into agreement with clients
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Section 15C |
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Penalty for failure to redress investors’ grievances
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Section 15D |
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Penalty for certain defaults in case of mutual funds
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Section 15E |
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Penalty for failure to observe rules and regulations by an asset management company
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Section 15EA |
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Penalty for default in case of alternative investment funds, infrastructure investment trusts and real estate investment trusts.
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Section 15EB |
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Penalty for default in case of investment adviser and research analyst
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Section 15F |
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Penalty for default in case of stock brokers
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Section 15G |
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Penalty for insider trading
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Section 15H |
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Penalty for non-disclosure of acquisition of shares and takeovers
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Section 15HA |
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Penalty for fraudulent and unfair trade practices
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Section 15HAA |
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Penalty for alteration, destruction, etc., of records and failure to protect the electronic database of Board
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Section 15HB |
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Penalty for contravention where no separate penalty has been provided
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Section 15I |
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Power to adjudicate
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Section 15J |
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Factors to be taken into account while adjudging quantum of penalty
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Section 15JA |
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crediting sums realised by way of penalties to consolidated fund of india
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Section 15JB |
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settlement of administrative and civil proceedings
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| Chapter: VIB |
| ESTABLISHMENT, JURISDICTION, AUTHORITY AND PROCEDURE OF SECURITIES APPELLATE TRIBUNAL |
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Section 15-O |
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Salary and allowances and other terms and conditions of service of Presiding Officers
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Section 15K |
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Establishment of Securities Appellate Tribunals
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Section 15L |
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Composition of Securities Appellate Tribunal
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Section 15M |
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Qualification for appointment as Presiding Officer or Member of Securities Appellate Tribunal
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Section 15MA |
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The Presiding Officer and Judicial Members of the Securities Appellate Tribunal ......
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Section 15MB |
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The Technical Members of the Securities Appellate Tribunal shall be appointed .............
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Section 15MC |
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No appointment of the Presiding Officer, a Judicial Member or a Technical Member ..........
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Section 15N |
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Tenure of office of Presiding Officer and other Members of Securities Appellate Tribunal
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Section 15P |
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Filling up of vacancies
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Section 15PA |
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In the event of occurrence of any vacancy in the office of the Presiding Officer of the Securities Appellate Tribunal by reason ..............
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Section 15Q |
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Resignation and removal
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Section 15QA |
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Qualifications, terms and conditions of service of Presiding Officer and Member.
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Section 15R |
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Orders constituting Appellate Tribunal to be final and not to invalidate its proceedings
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Section 15S |
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Staff of the Securities Appellate Tribunal
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Section 15T |
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Appeal to the Securities Appellate Tribunal
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Section 15U |
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Procedure and powers of the Securities Appellate Tribunal
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Section 15V |
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Right to legal representation
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Section 15W |
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Limitation
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Section 15X |
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Presiding Officer, Members and staff of Securities Appellate Tribunals to be public servants
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Section 15Y |
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Civil Court not to have jurisdiction
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Section 15Z |
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Appeal to Supreme Court
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| Chapter: VII |
| MISCELLANEOUS |
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Section 16 |
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Power of Central Government to issue directions
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Section 17 |
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Power of Central Government to supersede the Board
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Section 18 |
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Returns and reports
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Section 19 |
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Delegation
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Section 20 |
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Appeals
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Section 20A |
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Bar of jurisdiction
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Section 21 |
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Savings
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Section 22 |
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Members, officers and employees of the Board to be public servants
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Section 23 |
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Protection of action taken in good faith
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Section 24 |
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Offences
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Section 24A |
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Composition of certain offences
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Section 24B |
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Power to grant immunity
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Section 25 |
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Exemption from tax on wealth and income
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Section 26 |
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Cognizance of offences by courts
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Section 26A |
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Establishment of Special Courts
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Section 26B |
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Offences triable by Special Courts
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Section 26C |
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Appeal and revision
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Section 26D |
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Application of Code to proceedings before Special Court
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Section 26E |
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Transitional provisions
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Section 27 |
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Contravention by companies
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Section 28 |
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Power to exempt
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Section 28A |
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Recovery of amounts
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Section 28B |
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Continuance of proceedings
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Section 29 |
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Power to make rules
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Section 30 |
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Power to make regulations
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Section 31 |
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Rules and regulations to be laid before Parliament
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Section 32 |
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Application of other laws not barred
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Section 33 |
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Amendment of certain enactments
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Section 34 |
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Power to remove difficulties
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Section 34A |
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Validation of certain acts
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Section 35 |
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Repeal and saving
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