Exemption from registration

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..... general comments in good faith in regard to trends in the financial or securities market or the economic situation where such comments do not specify any particular securities or investment product; (b) Any insurance agent or insurance broker who offers investment advice solely in insurance products and is registered with Insurance Regulatory and Development Authority for such activity; (c) .....

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..... y be specified by the Board, who provides investment advice to their clients, incidental to his professional service; (g) Any stock broker or sub-broker registered under SEBI (Stock Broker and Sub- Broker) Regulations, 1992, portfolio manager registered under SEBI (Portfolio Managers) Regulations, 1993 or merchant banker registered under SEBI (Merchant Bankers) Regulations, 1992, who provides a .....

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..... igin shall fall within the purview of these regulations; (j) Any 1 [ principal officer, persons associated with advice ] and partner of an investment adviser which is registered under these regulations: Provided that such 1 [ principal officer, persons associated with advice ] and partner shall comply with regulation 7 of these regulations; (k) Any other person as may be specified b .....

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