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As you are aware, with the spate of issues of rights shares and fully and convertible debentures in the current financial year (i.e. 1992-93), the volume of odd lot shares and debentures has reportedly increased manifold, but the secondary market for them is not that active.
In this connection, we have been requested by the Ministry of Finance to send them immediately a detailed report on the progress made by the stock exchanges on implementation of these directives. As SEBI has issued fresh directives vide its letter SMD-II.11615/92 dated 20.11.92,
Provided that, before rejecting any such application, the applicant shall be given an opportunity to remove within the time specified such objections as may be indicated by the Board.
This has reference to our letter Ref.No.11969 dated November 30, 1992 regarding payment of fees by member brokers of the Stock Exchanges. During the meeting of Stock Exchange Presidents with the Chairman, SEBI, certain questions were raised requiring clarifications on the calculation of turn-over for the purpose of payment of fees under the SEBI.
You are requested to ensure that the members of your stock exchange strictly adhere to the time schedule fixed by the Ministry in this regard. A compliance report indicating the completion of audit of the accounts for the year 1991-92 of the members should be forwarded to SEBI by January 15, 1993.
For the purposes of this clause the expression directly or indirectly connected means any person being an associate, subsidiary, inter-connected or group Company of the applicant in case of the applicant being a body corporate.
1. Number of companies listed as on November 30,1992. 2. Average daily turnover of the shares & debentures rated at the Exchange.
hereby advised to send us a detailed progress report on the implementation of the above 5 suggestions immediately on receipt of this letter.
It is requested that the fees already collected from members should be forwarded to SEBI forthwith. The remaining fees may be collected before the 21st December, 1992 and remitted to us immediately on receipt.
to examine and recommend the various types of transactions, which may reasonably be taken into account to determine the turnover of stock brokers for purposes of levy of registration fees in accordance with Securities and Exchange Board of India (Stock-Brokers and Sub-Brokers)
