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Home Acts & Rules SEBI Act Securities and Exchange Board of India Act, 1992 Chapters List Chapter V REGISTRATION CERTIFICATE This

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Section 12 - Registration of stock brokers, sub-brokers, share transfer agents, etc - Securities and Exchange Board of India Act, 1992

Extract

  1. SEBI/LAD-NRO/GN/2024/167 - Dated: 8-3-2024 - SEBI - Securities and Exchange Board of India (Index Providers) Regulations, 2024.
  2. SEBI/LAD-NRO/GN/2024/166 - Dated: 8-3-2024 - SEBI - Securities and Exchange Board of India (Real Estate Investment Trusts) (Amendment) Regulations, 2024
  3. SEBI/LAD-NRO/GN/2024/163 - Dated: 5-1-2024 - SEBI - Securities and Exchange Board of India (Alternative Investment Funds) (Amendment) Regulations, 2024
  4. SEBI/LAD-NRO/GN/2023/160 - Dated: 20-10-2023 - SEBI - Securities and Exchange Board of India (Real Estate Investment Trusts) (Third Amendment) Regulations, 2023
  5. SEBI/LAD-NRO/GN/2023/159 - Dated: 20-10-2023 - SEBI - Securities and Exchange Board of India (Infrastructure Investment Trusts) (Third Amendment) Regulations, 2023
  6. SEBI/LAD-NRO/GN/2023/145 - Dated: 16-8-2023 - SEBI - Securities and Exchange Board of India (Infrastructure Investment Trusts) (Second Amendment) Regulations, 2023
  7. SEBI/LAD-NRO/GN/2023/144 - Dated: 16-8-2023 - SEBI - Securities and Exchange Board of India (Real Estate Investment Trusts) (Second Amendment) Regulations, 2023
  8. SEBI/LAD-NRO/GN/2023/143 - Dated: 10-8-2023 - SEBI - Securities and Exchange Board of India (Foreign Portfolio Investors) (Second Amendment) Regulations, 2023
  9. SEBI/LAD-NRO/GN/2023/132 - Dated: 15-6-2023 - SEBI - Corporate Debt Market Development Fund - Net set of regulations in respect of Alternative Investment Fund set up and making investments, notified - Securities and Exchange Board of India (Alternative Investment Funds) (Second Amendment) Regulations, 2023
  10. SEBI/LAD-NRO/GN/2023/128 - Dated: 14-3-2023 - SEBI - Securities and Exchange Board of India (Foreign Portfolio Investors) (Amendment) Regulations, 2023
  11. SEBI/LAD-NRO/GN/2023/123 - Dated: 14-2-2023 - SEBI - Securities and Exchange Board of India (Real Estate Investment Trusts) (Amendment) Regulations, 2023
  12. SEBI/LAD-NRO/GN/2023/122 - Dated: 14-2-2023 - SEBI - Securities and Exchange Board of India (Infrastructure Investment Trusts) (Amendment) Regulations, 2023
  13. SEBI/LAD-NRO/GN/2023/115 - Dated: 17-1-2023 - SEBI - Securities and Exchange Board of India (Change in Control in Intermediaries) (Amendment) Regulations, 2023
  14. SEBI/LAD-NRO/GN/2023/113 - Dated: 9-1-2023 - SEBI - Securities Exchange Board of India (Alternative Investment Funds) (Amendment) Regulations, 2023
  15. SEBI/LAD-NRO/GN/2022/105 - Dated: 15-11-2022 - SEBI - Securities and Exchange Board of India (Alternative Investment Funds) (Fourth Amendment) Regulations, 2022
  16. SEBI/LAD-NRO/GN/2022/101 - Dated: 9-11-2022 - SEBI - SECURITIES AND EXCHANGE BOARD OF INDIA INFRASTRUCTURE INVESTMENT TRUSTS) (SECOND AMENDMENT) REGULATIONS, 2022
  17. SEBI/LAD-NRO/GN/2022/100 - Dated: 9-11-2022 - SEBI - SECURITIES AND EXCHANGE BOARD OF INDIA (REAL ESTATE INVESTMENT TRUSTS) (AMENDMENT) REGULATIONS, 2022
  18. SEBI/LAD-NRO/GN/2022/099 - Dated: 9-11-2022 - SEBI - SECURITIES AND EXCHANGE BOARD OF INDIA (PAYMENT OF FEES) (AMENDMENT) REGULATIONS, 2022
  19. SEBI/LAD-NRO/GN/2022/94 - Dated: 22-8-2022 - SEBI - Securities and Exchange Board of India (Portfolio Managers) (Amendment) Regulations, 2022
  20. SEBI/LAD-NRO/GN/2022/89 - Dated: 25-7-2022 - SEBI - Securities and Exchange Board of India (Alternative Investment Funds) (Third Amendment) Regulations, 2022
  21. SEBI/LAD-NRO/GN/2022/75 - Dated: 16-3-2022 - SEBI - Securities and Exchange Board of India (Alternative Investment Funds) (Second Amendment) Regulations, 2022
  22. SEBI/LAD-NRO/GN/2022/68 - Dated: 24-1-2022 - SEBI - Securities and Exchange Board of India (Alternative Investment Funds) (Amendment) Regulations, 2022
  23. SEBI/LAD-NRO/GN/2022/64 - Dated: 14-1-2022 - SEBI - Securities and Exchange Board of India (Foreign Portfolio Investors) (Amendment) Regulations, 2022
  24. SEBI/LAD-NRO/GN/2021/61 - Dated: 31-12-2021 - SEBI - Securities and Exchange Board of India (Vault Managers) Regulations, 2021
  25. SEBI/LAD-NRO/GN/2021/41 - Dated: 13-8-2021 - SEBI - Securities and Exchange Board of India (Alternative Investment Funds) (Fourth Amendment) Regulations, 2021
  26. SEBI/LAD-NRO/GN/2021/33 - Dated: 3-8-2021 - SEBI - Securities and Exchange Board of India (Alternative Investment Funds) (Third Amendment) Regulations, 2021
  27. SEBI/LAD-NRO/GN/2021/31 - Dated: 3-8-2021 - SEBI - Securities and Exchange Board of India (Portfolio Managers) (Third Amendment) Regulations, 2021.
  28. SEBI.LAD-NRO/GN/2021/32 - Dated: 3-8-2021 - SEBI - Securities and Exchange Board of India (Foreign Portfolio Investors) (Amendment) Regulations, 2021
  29. SEBI/LAD-NRO/GN/2021/28 - Dated: 30-7-2021 - SEBI - Securities and Exchange Board of India (Real Estate Investment Trusts) (Amendment) Regulations, 2021.
  30. SEBI/LAD-NRO/GN/2021/27 - Dated: 30-7-2021 - SEBI - Securities and Exchange Board of India (Infrastructure Investment Trusts) (Amendment) Regulations, 2021.
  31. SEBI/LAD-NRO/GN/2021/21 - Dated: 5-5-2021 - SEBI - Securities and Exchange Board of India (Alternative Investment Funds) (Second Amendment) Regulations, 2021
  32. SEBI/LAD-NRO/GN/2021/16 - Dated: 26-4-2021 - SEBI - Securities and Exchange Board of India (Portfolio Managers) (Second Amendment) Regulations, 2021
  33. SEBI/LAD-NRO/GN/2021/10 - Dated: 16-3-2021 - SEBI - Securities and Exchange Board of India (Portfolio Managers) (Amendment) Regulations, 2021
  34. SEBI/LAD-NRO/GN/2021/01 - Dated: 8-1-2021 - SEBI - Securities and Exchange Board of India (Alternative Investment Funds) (Amendment) Regulations, 2021
  35. SEBI/LAD-NRO/GN/2020/37 - Dated: 19-10-2020 - SEBI - Securities and Exchange Board of India (Alternative Investment Funds) (Amendment) Regulations, 2020
  36. SEBI/LAD-NRO/GN/2020/16 - Dated: 16-6-2020 - SEBI - Securities and Exchange Board of India (Real Estate Investment Trusts) (Second Amendment) Regulations, 2020
  37. SEBI/LAD-NRO/GN/2020/15 - Dated: 16-6-2020 - SEBI - Securities and Exchange Board of India (Infrastructure Investment Trusts) (Second Amendment) Regulations, 2020
  38. SEBI/LAD-NRO/GN/2020/09 - Dated: 7-4-2020 - SEBI - Securities and Exchange Board of India (Foreign Portfolio Investors) (Amendment) Regulations, 2020.
  39. SEBI/LAD-NRO/CN/2020/03 - Dated: 16-1-2020 - SEBI - SECURITIES AND EXCHANGE BOARD OF INDIA (PORTFOLIO MANAGERS) REGULATIONS, 2020
  40. SEBI/LAD-NRO/GN/2019/44 - Dated: 19-12-2019 - SEBI - Securities and Exchange Board of India (Foreign Portfolio Investors) (Amendment) Regulations, 2019
  41. SEBI/LAD-NRO/GN/2019/36 - Dated: 23-9-2019 - SEBI - Securities and Exchange Board of India (Foreign Portfolio Investors) Regulations, 2019
  42. SEBI/LAD-NRO/GN/2019/16 - Dated: 10-5-2019 - SEBI - Securities and Exchange Board of India (Alternative Investment Funds) (Amendment) Regulations, 2019
  43. SEBI/LAD-NRO/GN/2019/10 - Dated: 22-4-2019 - SEBI - Securities and Exchange Board of India (Infrastructure Investment Trusts) (Amendment) Regulations, 2019
  44. SEBI/LAD-NRO/GN/2019/09 - Dated: 22-4-2019 - SEBI - Securities And Exchange Board Of India (Real Estate Investment Trusts) (Amendment) Regulations, 2019
  45. SEBI/LAD-NRO/GN/2018/58 - Dated: 31-12-2018 - SEBI - Securities And Exchange Board of India (Foreign Portfolio Investors) (Third Amendment) Regulations, 2018
  46. SEBI/LAD-NRO/GN/2018/43 - Dated: 9-10-2018 - SEBI - SECURITIES AND EXCHANGE BOARD OF INDIA (ISSUE AND LISTING OF SECURITISED DEBT INSTRUMENTS AND SECURITY RECEIPTS) (SECOND AMENDMENT) REGULATIONS, 2018
  47. SEBI/LAD-NRO/GN/2017-18/024 - Dated: 15-12-2017 - SEBI - SECURITIES AND EXCHANGE BOARD OF INDIA (INFRASTRUCTURE INVESTMENT TRUSTS) (AMENDMENT) REGULATIONS, 2017
  48. SEBI/LAD-NRO/GN/2017-18/022 - Dated: 15-12-2017 - SEBI - SECURITIES AND EXCHANGE BOARD OF INDIA (REAL ESTATE INVESTMENT TRUSTS) (AMENDMENT) REGULATIONS, 2017
  49. SEBI/LAD-NRO/GN/2017-18/012 - Dated: 20-7-2017 - SEBI - SECURITIES AND EXCHANGE BOARD OF INDIA (FOREIGN PORTFOLIO INVESTORS) (FOURTH AMENDMENT) REGULATIONS, 2017
  50. SEBI/LAD-NRO/GN/2017-18/004 - Dated: 29-5-2017 - SEBI - SECURITIES AND EXCHANGE BOARD OF INDIA (FOREIGN PORTFOLIO INVESTORS) (THIRD AMENDMENT) REGULATIONS, 2017
  51. SEBI/LAD-NRO/GN/2016-17/035 - Dated: 21-2-2017 - SEBI - Securities and Exchange Board of India (Foreign Portfolio Investors) (Second Amendment) Regulations, 2017
  52. SEBI/LAD-NRO/GN/2016-17/026 - Dated: 3-1-2017 - SEBI - SECURITIES AND EXCHANGE BOARD OF INDIA (ALTERNATIVE INVESTMENT FUNDS) (AMENDMENT) REGULATIONS, 2016.
  53. SEBI/LAD-NRO/GN/2016-17/021 - Dated: 29-11-2016 - SEBI - Securities and Exchange Board of India (Infrastructure Investment Trusts) (Amendment) Regulations, 2016
  54. SEBI/LAD-NRO/GN/2015-16/011 - Dated: 14-8-2015 - SEBI - (Alternative Investment Funds) (Amendment) Regulations, 2015.
  55. LAD-NRO/GN/2014-15/10/1577 - Dated: 26-9-2014 - SEBI - SECURITIES AND EXCHANGE BOARD OF INDIA (INFRASTRUCTURE INVESTMENT TRUSTS) REGULATIONS, 2014
  56. LAD-NRO/GN/2014-15/11/1576 - Dated: 26-9-2014 - SEBI - SECURITIES AND EXCHANGE BOARD OF INDIA (REAL ESTATE INVESTMENT TRUSTS) REGULATIONS, 2014
  57. LAD-NRO/GN/2013-14/36/12 - Dated: 7-1-2014 - SEBI - SECURITIES AND EXCHANGE BOARD OF INDIA (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2014
  58. LAD-NRO/GN/2013-14/24/6573 - Dated: 16-9-2013 - SEBI - Securities and Exchange Board of India (Alternative Investment Funds) (Amendment) Regulations, 2013.
  59. LAD-NRO/GN/2012-13/04/11262 - Dated: 21-5-2012 - SEBI - SECURITIES AND EXCHANGE BOARD OF INDIA (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
  60. LAD-NRO/GN/2008/12/126567 - Dated: 26-5-2008 - SEBI - SECURITIES AND EXCHANGE BOARD OF INDIA (ISSUE AND LISTING OF SECURITISED DEBT INSTRUMENTS AND SECURITY RECEIPTS) REGULATIONS, 2008
  61. F. No. 11/LC/GN/2007/4567 - Dated: 17-10-2007 - SEBI - (CERTIFICATION OF ASSOCIATED PERSONS IN THE SECURITIES MARKETS) REGULATIONS, 2007
  62. S.O. No.1273(E) - SEBI/MIRSD/DOR-I/151104/2004 - Dated: 16-11-2004 - SEBI - Extension of Regularisation period referred to in Securities and Exchange Board of India (Interest Liability Regularisation) Scheme, 2004
  63. S.O. No.818(E) - SEBI/MIRSD/DOR-I/15292/2004 - Dated: 15-7-2004 - SEBI - Securities and Exchange Board of India (Interest Liability Regularisation) Scheme, 2004.
  64. S.O. No.398(E) - SEBI/LE/4261/2004 - Dated: 10-3-2004 - SEBI - Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2003.
  65. F. No. SEBI/LE/26/2003 - Dated: 20-11-2003 - SEBI - Securities and Exchange Board of India (Central Database of Market Participants) Regulations, 2003
  1. Securities and Exchange Board of India Act, 1992
  2. Section 43 - Definitions of certain terms relevant to income from profits and gains of business or profession - Income-tax Act, 1961
  3. Section 30 - Power to make regulations - Securities and Exchange Board of India Act, 1992
  4. Section 23D - Penalty for failure to segregate securities or moneys of client or clients. - SECURITIES CONTRACTS (REGULATION) ACT, 1956
  5. Section 2 - Definitions - DEPOSITORIES ACT, 1996
  6. Section 19E - Penalty for failure to reconcile records - DEPOSITORIES ACT, 1996
  7. Section 19D - Penalty for delay in dematerialisation or issue of certificate of securities - DEPOSITORIES ACT, 1996
  8. Section 19C - Penalty for failure to redress investors’ grievances - DEPOSITORIES ACT, 1996
  9. Section 19B - Penalty for failure to enter into an agreement - DEPOSITORIES ACT, 1996
  10. Section 186 - Loan and investment by company - Companies Act, 2013
  11. Section 15JB - settlement of administrative and civil proceedings - Securities and Exchange Board of India Act, 1992
  12. Section 11D - Cease and desist proceedings - Securities and Exchange Board of India Act, 1992
  13. Section 11C - Investigation - Securities and Exchange Board of India Act, 1992
  14. Section 11B - Power to issue directions and levy penalty - Securities and Exchange Board of India Act, 1992
  15. Section 11 - Functions of Board - Securities and Exchange Board of India Act, 1992
  16. Rule 8B - Guidelines for notification of zero coupon bond - Income-tax Rules, 1962
  17. Rule 8 - Qualifications for membership of a recognised stock exchange - SECURITIES CONTRACTS (REGULATION) RULES, 1957
  18. Rule 67 - Investment of fund moneys - Income-tax Rules, 1962
  19. Rule 2DA - Guidelines for approval under clause (23FA) of section 10 - Income-tax Rules, 1962
  20. Rule 2D - Guidelines for approval under clause (23F) of section 10 - Income-tax Rules, 1962
  21. Rule 114E - Furnishing of statement of financial transaction. - Income-tax Rules, 1962
  22. Rule 114C - Verification of Permanent Account Number in transactions specified in rule 114B. - Income-tax Rules, 1962
  23. Rule 114B - Transactions in relation to which permanent account number is to be quoted in all documents for the purpose of clause (c) of sub-section (5) of section 139A. - Income-tax Rules, 1962
  24. Rule 11 - Loan and investment by a company under section 186 of the Act. - Companies (Meetings of Board and its Powers) Rules, 2014
  25. Regulation 9A - Conditions of registration - Securities and Exchange Board of India (Merchant Bankers) Regulations, 1992
  26. Regulation 9A - Conditions of registration - Securities and Exchange Board of India (Underwriters) Regulations, 1993
  27. Regulation 9A - Conditions of registration - Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) Regulations, 1993
  28. Regulation 9A - Conditions of registration - Securities and Exchange Board of India (Portfolio Managers) Regulations, 1993
  29. Regulation 9A - Conditions of registration - Securities and Exchange Board of India (Debenture Trustees) Regulations, 1993
  30. Regulation 8A - Conditions of registration - Securities and Exchange Board of India (Bankers to an Issue) Regulations, 1994
  31. Regulation 8 - Duty to co-operate, etc. - Securities and Exchange Board of India (Prohibition of Fraudulent and Unfair Trade Practices relating to Securities Market) Regulations, 2003
  32. Regulation 75 - Action against intermediaries - Securities and Exchange Board of India (Mutual Funds) Regulations, 1996
  33. Regulation 66 - Action against intermediaries - Securities and Exchange Board of India (Collective Investment Schemes) Regulations, 1999
  34. Regulation 6 - Powers of Investigating Authority - Securities and Exchange Board of India (Prohibition of Fraudulent and Unfair Trade Practices relating to Securities Market) Regulations, 2003
  35. Regulation 43 - Agreement between depository and issuer - Securities and Exchange Board of India (Depositories and Participants) Regulations, 2018
  36. Regulation 35 - Liability for action in case of default - Securities and Exchange Board of India (Alternative Investment Funds) Regulations, 2012
  37. Regulation 35 - Consideration of application for grant of certificate of registration - Securities and Exchange Board of India (Depositories and Participants) Regulations, 2018
  38. Regulation 3 - Registration as underwriter - Securities and Exchange Board of India (Underwriters) Regulations, 1993
  39. Regulation 296 - Directions by the Board - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  40. Regulation 28 - Directions by the Board - Securities and Exchange Board of India (Issue and Listing of Debt Securities) Regulations, 2008
  41. Regulation 28 - Action against intermediary. - Securities and Exchange Board of India (Foreign Venture Capital Investors) Regulations 2000
  42. Regulation 27A - Directions by the Board - Securities and Exchange Board of India (Issue and Listing of Municipal Debt Securities) Regulations, 2015
  43. Regulation 25 - Liability for action in case of default. - Securities and Exchange Board of India (Debenture Trustees) Regulations, 1993
  44. Regulation 24 - Action in case of violation - Securities and Exchange Board of India (Self Regulatory Organisations) Regulations, 2004
  45. Regulation 2 - Definitions. - Securities and Exchange Board of India (Issue of Sweat Equity) Regulations, 2002
  46. Regulation 2 - Definitions. - Securities and Exchange Board of India (Certification of Associated Persons in the Securities Markets) Regulations, 2007
  47. Regulation 2 - Definitions - SECURITIES AND EXCHANGE BOARD OF INDIA (PROCEDURE FOR HOLDING ENQUIRY BY ENQUIRY OFFICER AND IMPOSING PENALTY) REGULATIONS, 2002
  48. Regulation 2 - Definitions - Securities and Exchange Board of India (Prohibition of Fraudulent and Unfair Trade Practices relating to Securities Market) Regulations, 2003
  49. Regulation 2 - Definitions - Securities and Exchange Board of India (Ombudsman) Regulations, 2003
  50. Regulation 2 - Definitions - Securities and Exchange Board of India (Central Database Of Market Participants) Regulations, 2003
  51. Regulation 2 - Definitions - Securities and Exchange Board of India (Intermediaries) Regulations, 2008
  52. Regulation 2 - Definitions - Securities and Exchange Board of India {KYC (Know Your Client) Registration Agency} Regulations, 2011
  53. Regulation 2 - Definitions - Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 2015
  54. Regulation 2 - Definitions - Securities and Exchange Board of India (Buy-back of Securities) Regulations, 2018
  55. Regulation 2 - Definitions - Securities and Exchange Board of India (Settlement Proceedings) Regulations, 2018
  56. Regulation 14 - PROCEDURE OF FILING COMPLAINT - Securities and Exchange Board of India (Ombudsman) Regulations, 2003
  57. Regulation 12A - Omitted - Securities and Exchange Board of India (Stock Brokers) Regulations, 1992
  58. Regulation 12 - Payment of fees, and the consequences of failure to pay fees - Securities and Exchange Board of India (Underwriters) Regulations, 1993
  59. Regulation 1 - Short Title and Commencement. - Securities and Exchange Board of India (Certification of Associated Persons in the Securities Markets) Regulations, 2007
  60. Regulation 1 - Short title and commencement. - Securities and Exchange Board of India (Foreign Portfolio Investors) Regulations, 2014
  61. Regulation 1 - Short title and commencement - Securities and Exchange Board of India (Index Providers) Regulations, 2024
  62. Regulation 1 - Short title and commencement - SECURITIES AND EXCHANGE BOARD OF INDIA (PORTFOLIO MANAGERS) REGULATIONS, 2020
  63. Regulation 1 - Short title and commencement - SECURITIES AND EXCHANGE BOARD OF INDIA (PROCEDURE FOR HOLDING ENQUIRY BY ENQUIRY OFFICER AND IMPOSING PENALTY) REGULATIONS, 2002
  64. Regulation 1 - Short title and commencement - Securities and Exchange Board of India (Foreign Portfolio Investors) Regulations, 2019
  65. Regulation 1 - Short Title and Commencement - Securities and Exchange Board of India (Central Database Of Market Participants) Regulations, 2003
  66. Regulation 1 - Short title and commencement - Securities and Exchange Board of India (Issue and Listing of Securitized Debt Instruments and Security Receipts) Regulations, 2008
  67. Regulation 1 - Short title and commencement - Securities and Exchange Board of India (Alternative Investment Funds) Regulations, 2012
  68. Regulation 1 - Short title and commencement - Securities and Exchange Board of India (Real Estate Investment Trusts) Regulations, 2014
  69. Regulation 1 - Short title and commencement - Securities and Exchange Board of India (Infrastructure Investment Trusts) Regulations, 2014
  70. FIRST SCHEDULE - APPLICATION FOR GRANT OF CERTIFICATE OF REGISTRATION - Securities and Exchange Board of India (Index Providers) Regulations, 2024

 

 

 

 

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