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Please refer to the circular F.No.4/16/SE/19 dated August 19, 1991 on the above subject issued by the Stock Exchange Division, Ministry of Finance directing the Stock Exchanges to implement certain measures in the interest of long term growth of the Stock market and for ensuring investor protection.
You would be aware about the recent revelations about the alleged involvement of a few member brokers of the stock exchanges in the reported unauthorised practices adopted in the market for Government Securities which in turn enabled them to influence trading in and prices of shares in the stock exchanges.
Please refer to our letter dated February 4, 1991 enclosing a copy of directive issued by the Ministry of Finance F. No. 14/3/SE/85 dated November 14, 1985 regarding review of the existing system of Bye-laws and Regulations of Stock Exchanges relating to trading in securities and you were requested to ensure implementation of the instructions issued by the directive.
Please refer to directive F. No. 4/16/SE/91 dated August 19, 1991 issued by the Stock Exchange Division, Department of Economic Affairs, Ministry of Finance, advising all the Stock Exchanges to take certain measures in the interest of long-term growth of Stock market and for ensuring investor protection and send report on the implementation of the decisions conveyed therein to SEBI.
As you are aware SEBI has been, inter-alia, vested with the responsibilities relating to development and regulation of securities market and investor protection and advise Government on these matters. In order to perform these functions effectively, it is necessary that SEBI is kept apprised of various developments at the Stock Exchanges.
Please refer to our D.O. letter dated September 7, 1990 requesting you to send us information/data on the business done/major developments on the Stock Exchange on a daily basis in the format enclosed therewith. In this connection, it is observed that the information from several Stock Exchanges is not received on a regular basis and in some cases it is not in the prescribed format. The format for daily reporting has been simplified and a copy of the revised format is enclosed.
Recently some stock brokers have been declared as defaulters by certain Stock Exchanges. The important among the reasons for this event as reported in the press were the default on the part of clients and/or over trading by clients and or brokers.
We invite your attention to the bye-laws and rules framed by the Stock Exchange under the Securities Contracts (Regulation) Act, and the Rules thereunder which require that the member-brokers of the Stock Exchange should issue contract notes to their clients for the securities sold and purchased by them on behalf of the clients.