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FORM A - Application for recognition/renewal of recognition of a stock exchange undersection 3 of the Securities Contracts (Regulation) Act, 1956 - SECURITIES CONTRACTS (REGULATION) RULES, 1957

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..... urities Contracts (Regulation) Act, 1956 hereby apply for recognition/renewal of recognition for the purposes of the said Act in respect of contracts in securities. 2. Four copies of the rules, memorandum and articles of association relating in general to the constitution and management of the stock exchange and four copies of the bye-laws for the regulation and control contracts in securities are enclosed. 3. All the necessary information required in the Annexure to this Form is enclosed. Any additional information will be furnished as and when called for by the 2[Securities and Exchange Board of India]. 4. We/I on behalf of the said stock exchange hereby undertake to comply with the requirements of section 4 of the said Act and such other .....

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FORM A - Application for recognition/renewal of recognition of a stock exchange undersection 3 of the Securities Contracts (Regulation) Act, 1956 - SECURITIES CONTRACTS (REGULATION) RULES, 1957

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..... ? 11. Do you collect any security deposit from your members ? If so, give details and also state the manner in which such deposits are utilised and the rate of interest allowed, if any. 12. Do you collect any admission or entrance fees from your members or from partners of firms who are members ? If so, how much ? 13. Do you insist on your members and partners of firms who are members divesting themselves of other activities either as principal or as employee ? 14. Do your rules permit firms to become members ? If so, is it incumbent on members to seek the approval of the governing body before admitting new partners ? State the conditions, if any, laid down in your rules for the admission of such partners. 15. If your rules do not permit of .....

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FORM A - Application for recognition/renewal of recognition of a stock exchange undersection 3 of the Securities Contracts (Regulation) Act, 1956 - SECURITIES CONTRACTS (REGULATION) RULES, 1957

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..... so, give details as to the mode of their appointment, tenure of office and remuneration. Part IV - Trading 24. Do you have a trading ring ? If not, how do you carry on the business ? Give details. 25. State the different kinds of contracts in use on your exchange e.g., spot, ready and forward. State the period of delivery and payment in each case. 26. Give details of business hours for each type of contract. 27. Give details of the scale of brokerage and other charges, if any, prescribed by your exchange. 28. Do you prescribe standard forms of contract for the use of your members ? Attach three copies of each such contract form. 29. Do you classify your members into brokers and jobbers ? If so, specify the bye-law under which this is done. .....

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FORM A - Application for recognition/renewal of recognition of a stock exchange undersection 3 of the Securities Contracts (Regulation) Act, 1956 - SECURITIES CONTRACTS (REGULATION) RULES, 1957

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..... and rescission, including contracts : (i) between members, (ii) between a member and his constituent, and (iii) between a member and a non-member; (b) the consequences of breach, default or insolvency on the part of members whether acting as buyers, sellers or intermediaries ; and (c) ‘havalas’ and other matters relating to conduct of business of members in the exchange ? 41. Do you prescribe margin requirements ? If yes, give details. 42. Do you prescribe maximum and minimum prices for securities ? If so, how and under what conditions. 43. Do you provide any safeguards for the prevention of ‘bullsqueezes’ and ; ‘bear-raids’ and for meeting emergencies in trade ? Give details. 44. What are the measures a .....

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FORM A - Application for recognition/renewal of recognition of a stock exchange undersection 3 of the Securities Contracts (Regulation) Act, 1956 - SECURITIES CONTRACTS (REGULATION) RULES, 1957

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