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Securities and Exchange Board of India (Stock Brokers) (Amendment) Regulations, 2023. - SEBI/LAD-NRO/GN/2023/116 - SEBI

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..... e VI shall come into force on such date as the Board may by notification appoint in the Official Gazette. 3. In the Securities and Exchange Board of India (Stock Brokers) Regulations, 1992 - I. in regulation 2, in sub-regulation (1), after clause (cb), the following new clause shall be inserted, namely, - “(cc) “qualified stock broker” means a stock broker referred to in regulation 18D of these regulations;” II. in Regulation 17, after sub-regulation (1), the following new sub-regulation shall be inserted, namely, - “(1A) A stock broker in the Execution Only Platforms segment, shall keep and maintain the books of account, records and documents as may be specified by the Board from time to time.” III. afte .....

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Securities and Exchange Board of India (Stock Brokers) (Amendment) Regulations, 2023. - SEBI/LAD-NRO/GN/2023/116 - SEBI

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..... g row shall be inserted, namely, - “ Segment Rate/Amount (in ₹) Remarks Stock broker Clearing member Self-clearing member Execution Only Platforms * * * ” V. in Schedule VI, (i) in Table 1, after the remarks “# Networth requirement for members shall be Base Networth or Variable Networth, whichever is higher.”, the following shall be inserted, namely,- “However, the requirement of Variable Networth shall not be applicable for Execution Only Platforms segment.” (ii) in Table 2, after the row for the “Electronic Gold Receipts‟ Segment, the following new row shall be inserted, namely,- “ Segment Trading Member (in ₹) Clearing member (in ₹) Self-clearing member (in ₹) .....

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Securities and Exchange Board of India (Stock Brokers) (Amendment) Regulations, 2023. - SEBI/LAD-NRO/GN/2023/116 - SEBI

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..... e S.O. No. 1128 (E). k) February 20, 2002 by SEBI (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2002vide S.O. No. 220 (E). l) September 27, 2002 by SEBI (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002 vide S.O. No. 1045 (E). m) September 23, 2003 by the SEBI (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2003 vide S.O. No. 1095 (E). n) November 20, 2003 by the SEBI (Stock Brokers and Sub-Brokers) (Second Amendment) Regulations, 2003 vide F. No. SEBI /LAD /20795 /2003. o) March 10, 2004 by the Securities and Exchange Board of India (Criteria for Fit and Proper Person) Regulations, 2004 vide S.O. No. 398(E). p) August 1, 2006 by the SEBI (Stock Brokers and Sub-Brokers) (Amendment) .....

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Securities and Exchange Board of India (Stock Brokers) (Amendment) Regulations, 2023. - SEBI/LAD-NRO/GN/2023/116 - SEBI

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..... 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, 2011 vide Notification No. LAD-NRO/GN/2011-12/19/26273. aa) April 5, 2013 by the Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2013 vide Notification No. LAD-NRO/GN/2013-14/01/8129. bb) September 27, 2013 by the Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) (Second Amendment) Regulations, 2013 vide Notification No. No.LADNRO/GN/2013-14/25/24775. cc) May 23, 2014 by the Securities and Exchange Board of India (Payment of Fees) (Amendment) Regulatio .....

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Securities and Exchange Board of India (Stock Brokers) (Amendment) Regulations, 2023. - SEBI/LAD-NRO/GN/2023/116 - SEBI

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..... xchange Board of India (Regulatory Sandbox) (Amendment) Regulations, 2020 vide Notification No. SEBI/LAD-NRO/GN/2020/10. ll) May 08, 2020 the Securities and Exchange Board of India (Payment of Fees) (Amendment) Regulations, 2020vide Notification No. SEBI/LAD-NRO/GN/2020/011. mm) March 30, 2021 by the Securities and Exchange Board of India (Stock Brokers) (Amendment) Regulations,2021 vide Notification no. SEBI/LAD-NRO/GN/2021/14. nn) May 05, 2021 by the Securities and Exchange Board of India (Payment of Fees and Mode of Payment) (Amendment) Regulations, 2021 vide Notification no. SEBI/LADNRO/GN/2021/23. oo) August 03, 2021 by the Securities and Exchange Board of India (Regulatory Sandbox) (Amendment) Regulations, 2021 vide Notification no. S .....

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Securities and Exchange Board of India (Stock Brokers) (Amendment) Regulations, 2023. - SEBI/LAD-NRO/GN/2023/116 - SEBI

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