TMI BlogSecurities and Exchange Board of India (Stock Brokers) (Amendment) Regulations, 2023.X X X X Extracts X X X X X X X X Extracts X X X X ..... curities and Exchange Board of India (Stock Brokers) (Amendment) Regulations, 2023. 2. They shall come into force on the date of their publication in the Official Gazette: Provided that the amendments in Regulation 17, Schedule V and Schedule VI shall come into force on such date as the Board may by notification appoint in the Official Gazette. 3. In the Securities and Exchange Board of India (Stock Brokers) Regulations, 1992 - I. in regulation 2 , in sub-regulation (1), after clause (cb), the following new clause shall be inserted, namely, - (cc) qualified stock broker means a stock broker referred to in regulation 18D of these regulations; II. in Regulation 17 , after sub-regulation (1), the following new sub-reg ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... cyber security framework and processes; and f) investor services including online complaint redressal mechanism. IV. in Schedule V, in Part B, in clause 3, in sub-clause (1), in the Table, after the row for the Electronic Gold Receipt Segment‟, the following row shall be inserted, namely, - Segment Rate/Amount (in ₹) Remarks Stock broker Clearing member Self-clearing member Execution Only Platforms * * * V. in Schedule VI, (i) in Table 1, after the remarks # Networth requ ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... 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) Regulations, 2001 vide S.O. No. 1128 (E). ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... 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 of India (Change in Conditions of R ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ent) Regulations, 2017 vide Notification No. LADNRO/ GN/2016-17/038. gg) July 13, 2017 by the Securities and Exchange Board of India (Stock Brokers and Sub- Brokers)(Amendment) Regulations, 2017 vide Notification No. LADNRO/GN/2017-18/005. hh) March 13, 2018 by the Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2018 vide Notification No. SEBI/LAD-NRO/GN/2018/03. ii) July 30, 2018 by the Securities and Exchange Board of India (Stock Brokers and Sub-Brokers)(Second Amendment) Regulations, 2018 vide Notification No. SEBI/LADNRO/GN/2018/27. jj) March 22, 2019 by the Securities and Exchange Board of India (Payment of Fees) (Amendment) Regulations, 2019 vide Notification No. SEBI/LAD-NR ..... X X X X Extracts X X X X X X X X Extracts X X X X
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