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TMI BlogSecurities and Exchange Board of India (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2014X X X X Extracts X X X X X X X X Extracts X X X X ..... e called the Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2014. 2. They shall come into force on the date of their publication in the Official Gazette. 3. In the Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) Regulations, 1992,- (I) in regulation 3, - (i) for sub-regulation (1), the following shall be substituted, namely- "(1) No person shall act as a stock broker, unless he obtains a certificate of registration from the Board: Provided that no separate registration shall be required for a clearing member registered with the Board to act as a stock broker in a stock exchange of which he is admitted as a member, subject to grant of approval by the concerned st ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... gulation (1), the following shall be substituted, namely,- "(1) No person shall act as a clearing member, unless he obtains a certificate of registration from the Board: Provided that no separate registration shall be required for a stock broker registered with the Board to act as a clearing member in a clearing corporation of which he is admitted as a member, subject to grant of approval by the concerned clearing corporation. Explanation.-For the purpose of this sub-regulation, it is clarified that no separate registration shall be required for a clearing member registered with the Board to operate in more than one clearing corporation, of which he is admitted as a member, subject to grant of approval by the concerned clearing corpor ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... " (B) Table 3 shall be omitted; (C) In 'Other details' para 2 shall be omitted; (ii) Form AA shall be omitted; (iii) in Form AD,- (A) in Table 1- (a) in Serial No. 7, after the words "financial institution" the words and symbols ",others (please specify)" shall be inserted; (b) after Serial No. 8, the following Serial No. shall be inserted, namely- " 9. PAN of the applicant " (B) Table 3 shall be omitted; (iv) for Form D the following shall be substituted, namely- "FORM D [Regulations 6 and 10B] CERTIFICATE OF REGISTRATION In exercise of the powers conferred by sub-section (1) of section 12 of the Securities and Exchange Board of India Act, 1992, read with the rules and regulations made thereunder, the Boar ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... (Stock Brokers and Sub-Brokers) (Third Amendment) Regulations, 1998 vide S.O. No. 1078 (E). (e) July 6, 1999 by SEBI (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 1999 vide S.O. No. 541 (E). (f) March 14, 2000 by SEBI (Stock Brokers and Sub-Brokers) (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 ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... he Securities and Exchange Board of India (Payment of Fees) (Amendment) Regulations, 2009 vide Notification No. LADNRO/ GN/2009- 10/11/167759. (v) November 19, 2009 by the Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2009 vide Notification 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 ..... X X X X Extracts X X X X X X X X Extracts X X X X
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