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It has been observed while processing the application that the Sub-brokers are still making incomplete applications, which is causing unnecessary delay in process of registration.
Although the Stock Exchanges have been sending D.O. letters to SEBI more or less on a regular basis, it is observed that the required information is not furnished by them on a uniform basis. Each stock exchange has devised its own format for reporting monthly developments.
SEBI is required to send a monthly report on the share price movements, turnover and delivery etc., at the major Stock Exchanges to the Ministry of Finance.
We shall appreciate it if you will please arrange to furnish us the following information on or before April 20, 1996 either by fax or by speed post.
In an order dated October 30, 1995 passed by the Supreme Court in the matter of Smt Yasomati Harsukhlal Lathia vs Saurashtra Kutch Stock Exchange & others Civil Appeal no. 10004/95, the Court has held that Matric is equivalent to 11th standard in Gujarat State, Saurashtra region
We have devised guidelines for making applications complete in all respects. A copy of the same is being enclosed for your perusal. Co-operation from the Stock Exchanges will help us immensely in registering and regulating this class of capital market intermediaries.
In case of new issues, the stock exchanges decided that they would reach an agreement whereby every exchange would grant listing permission to the company’s share individually, but would allow trading only after the shares are granted listing permission by all stock exchanges named in the prospectus for enlisting of shares.
The decisions above are to be implemented immediately. The status of implementation should be reported in the monthly D.O. letters and also through separate letters to the Division Chief, Market Intelligence Division of SEBI.
he stock exchanges are required to double their existing base minimum capital requirement for their members from Rs. 5 lakhs to Rs. 10 lakhs in the case of Bombay and Calcutta Stock Exchange, from Rs. 3.5 lakhs to Rs. 7 lakhs in the case of Delhi and Ahmedabad Stock Exchange and from Rs. 2 lakhs to Rs. 4 lakhs in the case of other stock exchanges.
Needless to mention that automation of stock exchanges is on priority agenda of SEBI. It is advised that all efforts are made to adhere to the schedule above for introduction of on-line trading system by the respective stock exchanges.