TMI BlogSECURITIES AND EXCHANGE BOARD OF INDIA (PAYMENT OF FEES AND MODE OF PAYMENT) (AMENDMENT) REGULATIONS, 2017X X X X Extracts X X X X X X X X Extracts X X X X ..... rwriters) Regulations, 1993, Securities and Exchange Board of India (Debenture Trustees) Regulations, 1993, Securities and Exchange Board of India (Bankers to an Issue) Regulations, 1994, Securities and Exchange Board of India (Depositories and Participants) Regulations, 1996, Securities and Exchange Board of India (Mutual Funds) Regulations, 1996, Securities and Exchange Board of India (Custodian of Securities) Regulations, 1996, Securities and Exchange Board of India (Buy Back of Securities) Regulations, 1998, Securities and Exchange Board of India (Collective Investment Scheme) Regulations, 1999, Securities and Exchange Board of India (Credit Rating Agencies) Regulations, 1999, Securities and Exchange Board of India (Foreign Venture Capital Investor) Regulations, 2000, Securities and Exchange Board of India (Self-Regulatory Organizations) Regulations, 2004, Securities and Exchange Board of India (Regulatory Fee on Stock Exchanges) Regulations, 2006, Securities and Exchange Board of India (Issue and Listing of Debt Securities) Regulations, 2008, Securities and Exchange Board of India (Public Offer and Listing of Securitised Debt Instruments) Regulations, 2008, Securities and Exch ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... Stock Broker Clearing member Self-clearing member Cash 0.00015 per cent of the price at which the securities are purchased or sold (Rs. 15 per crore) * * All sale and purchase transactions in securities other than debt securities. Equity derivatives 0.00015 per cent of his turnover (Rs.15 per crore) 50,000/ 50,000/ Explanation. -(A) The expression turnover shall include the value of the trades executed by the stock broker on the concerned segment of the recognized stock exchange and of the trades settled on the expiration of the contracts. (B) In case of options contracts, turnover shall be computed on the basis of premium traded for the option contracts and in case where the option is exercised or assigned, it shall be additionally computed on the basis of notional value of option contracts exercised or assigned. Currency Derivatives ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... he symbol . , the words by way of direct credit in the bank account through NEFT/RTGS/IMPS or any other mode allowed by RBI shall be inserted. Amendments to the Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) Regulations, 1993 6. In the Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) Regulations, 1993, in Schedule II, in clause 3, after the words Share Transfer Agent and before the word by , the words by way of direct credit in the bank account through NEFT/RTGS/IMPS or any other mode allowed by RBI or shall be inserted. Amendments to the Securities and Exchange Board of India (Underwriters) Regulations, 1993 7. In the Securities and Exchange Board of India (Underwriters) Regulations, 1993, in Schedule II, in clause 4, after the word Underwriter and before the word by , the words by way of direct credit in the bank account through NEFT/RTGS/IMPS or any other mode allowed by RBI or shall be inserted. Amendments to the Securities and Exchange Board of India (Debenture Trustees) Regulations, 1993 8. In the Securities and Exchange Board of India (Debenture Trustees) ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... V, - i. in clause 1, the table shall be substituted with the following table, - Offer Size Fee (Rs.) Less than or equal to rupees ten crore ₹ 5,00,000/- More than rupees ten crore but less than or equal to rupees one thousand crore 0.5% of the offer size More than rupees one thousand crore ₹ 5,00,00,000/- plus 0.125% of the portion of offer size in excess of rupees one thousand crore ii. in clause (2), in sub-clause (b), after the word payable and before the word by , the words by way of direct credit in the bank account through NEFT/RTGS/IMPS or any other mode allowed by RBI or shall be inserted. Amendments to the Securities and Exchange Board of India (Collective Investment Scheme) Regulations, 1999 14. In the Securities and Exchange Board of India (Collective Investment Scheme) Regulations, 1999, in the Second Schedule, in clause 3, after the word paid and before the word by , the words by way of direct credit in the bank account through NEFT/RTGS/IMPS or a ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... dia (Issue and Listing of Debt Securities) Regulations, 2008 19. In the Securities and Exchange Board of India (Issue and Listing of Debt Securities) Regulations, 2008, in Schedule V, - i. in clause 2, after the word paid and before the word by , the words by way of direct credit in the bank account through NEFT/RTGS/IMPS or any other mode allowed by RBI or shall be inserted; ii. in clause 4, after the words subsequent month and before the word by , the words by way of direct credit in the bank account through NEFT/RTGS/IMPS or any other mode allowed by RBI or shall be inserted. Amendments to the Securities and Exchange Board of India (Public Offer and Listing of Securitised Debt Instruments) Regulations, 2008 20. In the Securities and Exchange Board of India (Public Offer and Listing of Securitised Debt Instruments) Regulations, 2008, in Schedule II, in clause 2, after the word paid and before the word by , the words by way of direct credit in the bank account through NEFT/RTGS/IMPS or any other mode allowed by RBI or shall be inserted. Amendments to the Securities and Exchange Board of India (Delisting of Equity Shares) Regulations, 2009 2 ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... first clause, the words The fees shall be paid by way of direct credit in the bank account through NEFT/RTGS/IMPS or any other mode allowed by RBI or by shall be substituted in place of the letter A . Amendments to the Securities and Exchange Board of India (Substantial Acquisition of Shares and Takeovers) Regulations, 2011 25. In the Securities and Exchange Board of India (Substantial Acquisition of Shares and Takeovers) Regulations, 2011, - i. in sub-regulation 7 of regulation 10, after the words one lakh fifty thousand and before the word by , the words by way of direct credit in the bank account through NEFT/RTGS/IMPS or any other mode allowed by RBI or shall be inserted; ii. in sub-regulation 4 of regulation 11, - a. the words three lakh shall be substituted with the words five lakh ; b. after the symbol , and before the word by , the words by way of direct credit in the bank account through NEFT/RTGS/IMPS or any other mode allowed by RBI or shall be inserted. iii. in sub-regulation 1 of regulation 16, after the word and symbol scale, and before the word by , the words by way of direct credit in the bank account through NEFT/RTGS/IMPS ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... BI or shall be inserted. Amendments to the Securities and Exchange Board of India (Foreign Portfolio Investors) Regulations, 2014 30. In the Securities and Exchange Board of India (Foreign Portfolio Investors) Regulations, 2014, in the Second Schedule, in Part B, - i. in clause (2), - a. the symbol INR shall be substituted with the symbol Rs. ; b. after the word and symbol application, and before the word by , the words by way of direct credit in the bank account through NEFT/RTGS/IMPS or any other mode allowed by RBI or shall be inserted. ii. in clause (3), - a. the symbol INR shall be substituted with the symbol Rs. ; b. after the figure 5,00,000/- and before the word by , the words by way of direct credit in the bank account through NEFT/RTGS/IMPS or any other mode allowed by RBI or shall be inserted. Amendments to the Securities and Exchange Board of India (Real Estate Investment Trusts) Regulations, 2014 31. In the Securities and Exchange Board of India (Real Estate Investment Trusts) Regulations, 2014, in Schedule II, in clause 5, after the words applicant/REIT and before the word by , the words by way of direct credit in ..... X X X X Extracts X X X X X X X X Extracts X X X X
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