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TMI BlogFormsX X X X Extracts X X X X X X X X Extracts X X X X ..... [9 PAN of the applicant] Table 2: Details of proprietor/ partners/ directors Sl. No. Names Age PAN Educational Qualifications Experience in derivatives trading or securities market, as applicable 4[****] Table 4: Details of sales personnel or approved user who has passed any certification programme Sl. No. Name Date of test Percentage Certificate No. Other details: 1. Please furnish a copy of the memorandum and articles of association or the partnership deed, as the case may be. 2. 5[****] 3. If the applicant intends to clear and settle his trades through a clearing member, the applicant is required to furnish the name and details of the clearing member along with a copy of MoU/ agreement/ contract with them for the same. ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ] FORM AA 6[***] FORM AB 7[***] FORM AC 8[***] 9[FORM AD [Regulation 10A] Application Form for Registration as Clearing Member with Securities and Exchange Board of India Table 1: Sl. No. Particulars Details 1. Name of Member with Code 2. Trade name of Member 3. Name of the Clearing Corporation of which the applicant is the member 4. Date of admission to Clearing Corporation 5. Address of Member 6. Fax Number(s), Phone Number(s) of office and residence and email address 7. Form of Organization-Sole proprietorship, partnership, corporate body, financial institution 10[,others (please specify)] 8. Net worth along with supporting document 11[9. PAN of the applicant] Table 2: Details of proprietor/ partners/ directo ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ORPORATION This is to certify that …………………………. is a member of this Clearing Corporation and is recommended for registration with the Securities and Exchange Board of India. Signature: Name: Designation:] FORM B 19[****] FORM C 19[****] FORM CA 19[****] 15[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 Board hereby grants a certificate of registration to...................................................................... as a stock broker/ proprietary trading member/ c ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ate:............... By Order For and on behalf of Securities and Exchange Board of India ************ NOTES:- 1 Substituted by the SEBI (Stock Brokers and Sub-brokers) (Second Amdt.) Regulations,2013 w.e.f 27.09.2013 2 Inserted by the SEBI (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2014 w.e.f. 08.10.2014. 3 Inserted by the SEBI (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2014 w.e.f. 08.10.2014 4 Table 3omitted by the SEBI (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2014 w.e.f. 08.10.2014. 5 Omitted by the SEBI (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2014 w.e.f. 08.10.2014 6 Omitted by the SEBI (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2014 w.e.f. 08.10.20 ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... Regulations, 1992 [Regulation 11] Application Form for Registration as a Sub-broker with Securities and Exchange Board of India 1. Name of applicant sub-broker: 2. Trade name of sub-broker, firm, corporate body. 3. Form of organisation-sole proprietorship, partnership, corporate body. Please give names of proprietor, all partners, directors etc. 4. Educational qualifications of proprietor, partners, directors, etc. Name Status Qualifications 5. Name of the member-broker and Stock Exchange to which applicant is affiliated. 6. Date of acquiring sub-brokership 7. Infrastructural arrangements-indicate fax, telex, phone number of offices and residential numbers. Also indicate the number of employees. Office Address Phone No. Telex ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... nd he has got good financial background, moral character and integrity. He has been transacting business frequently and was meeting the market commitments as and when they arise. I/We hereby recommend his application for granting registration for carrying on shares and securities business as sub-broker. I/We also wish to state that whatever the information that has been submitted is true to the best of my/our knowledge and if at a later date any material information comes to my/our knowledge subsequent to the submission of this application I/we undertake to keep informed about the same. I/We member/s of............Exchange hereby agree to recommend the above mentioned applicant. Yours faithfully, Signature of Member/s 14[FORM CA] Secur ..... X X X X Extracts X X X X X X X X Extracts X X X X
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