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Recently we have come across certain cases while granting registration to brokers, where investor complaints were pending for long gainst the transferor members. In accordance with Rule 4(e) of SEBI Stock-
Insistence by the company that the RTA produce a certificate from a practising company secretary that all transfers have been completed within the stipulated time.
In exercise of the powers conferred by sub-section (i) of Section 30 of the SEBI Act, 1992 whereby a corporate entity formed by converting the individual or partnership membership card of the exchange shall be exempted from payment of fee for the period for which the erstwhile individual or partnership member as the case may be has already paid the fees subject to the condition.
For all future correspondence on the matter you are advised to quote the following reference
All the exchanges are advised to bring the above information to the notice of their members and ensure that the members do not transact business as sub-brokers through members of other exchanges without due registration as a sub-broker from SEBI.
Any stoppage beyond five minutes will be explained and reported to the Board. The Exchange shall issue a press release specifying the reasons for the breakdown.
It has also been decided that settlement of trades in the depository would be compulsory from January 15, 1998 for the institutional investors, viz., domestic financial institutions, banks, mutual funds and foreign institutional investors having a minimum portfolio of securities of Rs.10 crores as on the latest balance sheet date.
Please refer to the clarification No. XXI to the Guidelines for Disclosure and Investor Protection providing for 100% book building process for new issues which was communicated to the stock exchanges vide SEBI Circular No. SMD/POLICY/CIR-33/97 dated December 05, 1997.
We have been receiving requests from stock exchanges seeking clarification regarding trading rights of the members who are corporatising their individual membership, pending SEBI Registration.
SEBI has issued clarification No. XXI to the guidelines for disclosure and investor protection providing for 100% book building process for new issues. In this connection, a copy of the circular RMB (DIP) Series Circular No. 2 (97-98) dated October 27, 1997 is enclosed for your reference.
