TMI BlogFORMSX X X X Extracts X X X X X X X X Extracts X X X X ..... 8 Net worth along with supporting document 3 [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 furni ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... earing 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/ directors Sl.No Names Age PAN Educational Qualifications Experience in derivatives trading or securities market, as applicable 12 [***] Other details: 1. Please furnish a copy of the memorandum and articles of association or the partnership deed, as the case may be. 2. Whether the application is accompanied by a requisite fee as per Schedule V of the Regulations as applicable to the applicant. U ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ............... By order For and on behalf of Securities and Exchange Board of India] FORM DA 16 [***] FORM DB 17 [***] FORM DC 18 [***] FORM E Securities and Exchange Board of India (Stock Brokers and Sub-brokers) Regulations, 1992 [Regulation 12] 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 Sub-broker subject to the rules and in accordance with the regulations. Registration number allotted is as under: ...................................................................................................................................... ................................................. This certificate shall be valid till it is suspended or cancelled in accordance with the regulations. Date:............... By Order For and on behalf of Securities and Exchange Board of India ********* 1 Substituted by the SEBI (Stock Brokers and Sub-brokers) (Second Amdt.) Reg ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... 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 No. Fax No. Residential Phone Nos. of proprietor, partners, directors, etc. 8. Number of branch offices and their location with phone, telex and fax numbers. I certify that the information given in this application form is true to the best of my/our knowledge and belief. Recommendation letter from the stock broker to whom I/we am/are affiliated and two references, including one from the banker as required are enclosed. ............................... Date.................... Signature Recommendation of the Stock Exchange This is to certify that...............is a 13 [recognised] sub-broker affiliated to...............member broker of this Exchange. The application is recommended/not recommended ..... X X X X Extracts X X X X X X X X Extracts X X X X
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