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Under Regulation 11 of SEBI (Stock Brokers and Sub-Brokers) Rules and Regulations, 1992 the stock exchanges are required to forward the applications of sub-brokers to SEBI after certifying that the applicants are eligible for registration.
Any person aggrieved by an order of the Board made, on and after the commencement of the Securities Laws (Second Amendment) Act, 1999, (i.e., after 16th December 1999), under these regulations may prefer an appeal to Securities Appellate Tribunal having jurisdiction in the matter.
The stock brokers are not supposed to deal with those sub-brokers who are not registered with SEBI. Therefore you are requested to advise your member brokers to execute the agreement with their sub-brokers and collect the requisite fees to be forwarded to SEBI on an urgent basis.
Stock exchanges in the country have amended their rules/Articles of Association to provide for non-eligibility of a person to offer himself as a candidate for being a President/Vice President if he has been so elected on two consecutive occasions earlier.
This has reference to the discussions at the Presidents/ED’s meeting of the stock exchanges with Chairman, SEBI on 24.11. 93. It may be recalled that it was agreed during that meeting that the base capital norm enumerated in the capital adequacy norms circulated by SEBI will be fulfilled by 10.12.93.
As the process of rounding off to the nearer multiple of 100 may result in the actual allotment being higher than the securities offered, it would be necessary to allow a 10% margin i.e. the final allotment may be higher upto 110% of the size of the actual offering.
In case of sales on behalf of clients, Member broker shall be at liberty to close out the contract by effecting purchases if the client fails to deliver the securities sold with valid transfer documents within 48 hours of the contract note having been delivered
In regard to receipt of information from companies, you may devise standard written procedures for the receipt, processing and dissemination of such information to members of your exchange. The procedures may also incorporate a time frame.
Please refer to our letter No.SMD/SED/0012/92, dated December 31, 1992 regarding the aforesaid subject. In this regard, I draw your attention to the Circular No. F1/5/SE/83, of Govt of India, Ministry of Finance, Department of Economic Affairs
This has reference to SEBI’s letter No. SMD-I/11087/92 dated 4th November, 1992. On receiving the comments from various stock exchanges on the norms circulated by us it has been decided that the norms as set out in the annexure shall be made applicable to the stock brokers in all the stock exchanges.
