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Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) (Second Amendment) Regulations, 2018. - SEBI/LAD-NRO/GN/2018/27 - SEBI

Extract

..... e Board of India (Stock Brokers and Sub-Brokers) Regulations, 1992,- (I) in Regulation 2, in sub-regulation (1), clause (gc) shall be omitted; (II) Chapter III shall be omitted; (III) in Regulation 17, in sub-regulation (1), clauses (l) and (m) shall be omitted; (IV) Regulation 18B shall be omitted; (V) in Regulation 26, clause (xiv) shall be omitted; (VI) in Regulation 27, - i. the words and symbol “, as the case may be” shall be omitted; ii. the words “or sub-broker” shall be omitted (VII) in Schedule I, - i. Form B shall be omitted; ii. Form C shall be omitted; iii. Form CA shall be omitted; (VIII) in Schedule II, all words, symbols and numbers after the words and symbol and number, “(6) False or Misleading .....

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Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) (Second Amendment) Regulations, 2018. - SEBI/LAD-NRO/GN/2018/27 - SEBI

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..... (Amendment) Regulations, 2000 vide S.O. No. 234 (E). (g) March 28, 2000 by SEBI (Appeal to Securities Appellate Tribunal) (Amendment) Regulations, 2000 vide S.O. No. 278 (E). (h) August 30, 2000 by SEBI (Stock Brokers and Sub-Brokers) (Second Amendment) Regulations, 2000 vide S.O. No. 787 (E). (i) May 29, 2001 by SEBI (Investment Advice by Intermediaries) (Amendment) Regulations, 2001 vide S.O. No. 476(E). (j) November 15, 2001 by SEBI (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2001 vide S.O. No. 1128 (E). (k) February 20, 2002 by SEBI (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2002 vide S.O. No. 220 (E). (l) September 27, 2002 by SEBI (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regula .....

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Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) (Second Amendment) Regulations, 2018. - SEBI/LAD-NRO/GN/2018/27 - SEBI

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..... tification No. LADNRO/GN/2009-10/21/183853. (w) April 13, 2010 by the Securities and Exchange Board of India (Stock Brokers and Sub Brokers) (Amendment) Regulations, 2010 vide Notification No. LADNRO/GN/2010-11/06/1097. (x) April 6, 2011 by the Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2011 vide Notification No. F. No. LAD - NRO/ GN/ 2011 - 12/01/11486. (y) April 19, 2011 by the Securities and Exchange Board of India (Change in Conditions of Registration of Certain Intermediaries) (Amendment)Regulations, 2011 vide Notification No. LAD/NRO/GN/2011-12/03/12650. (z) August 17, 2011 by the Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) (Second Amendment) Regulations, .....

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Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) (Second Amendment) Regulations, 2018. - SEBI/LAD-NRO/GN/2018/27 - SEBI

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