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SEBI : Negative net worth creates major interpretational challenges under Regulation 16 of SEBI LODR Regulations. This article explains t...
SEBI : This article explains mandatory website disclosure requirements under Regulations 46 and 62 of SEBI LODR Regulations, 2015. It hig...
SEBI : SEBI introduced a uniform 30-day lag for sharing and using market price data for educational purposes after concerns over misuse o...
SEBI : This article explains the key website disclosure requirements imposed on listed companies under SEBI LODR Regulations, 2015. It hi...
SEBI : SEBI’s new circular restricts unauthorized use and redistribution of real-time exchange data by educators, finfluencers, and tra...
SEBI : SEBI has proposed major reforms to the Pre-open Call Auction mechanism after concerns over artificially suppressed prices in IPO a...
SEBI : SEBI revised the methodology for computing household savings through the securities market by incorporating actual granular data a...
SEBI : SEBI issued a draft consultation paper proposing limited relaxation of third-party payment restrictions in mutual funds for specif...
SEBI : SEBI has proposed replacing the centralized STP Hub with direct API-based connectivity between STP Service Providers to reduce lat...
SEBI : SEBI has proposed exempting Research Analysts from maintaining call recordings for institutional investors, citing their sophistic...
SEBI : The issue was whether failure to refund investor funds is time-barred. The Court held it is a continuing offence, rejecting the li...
SEBI : Calcutta High Court directs SEBI to accept Priya Ranjan Sah's payment, citing a one-day delay as not warranting prolonged litigati...
SEBI : The adjudication is conducted as per the mechanism outlined under SEBI Act and the rules framed thereunder. Notably, the provision...
SEBI : Calcutta High Court held that SEBI cannot be forced to hand over documents to the accused. Accordingly, allowing petition u/s. 91 ...
SEBI : Madras High Court dismissed the petition on the ground of availability of an effective and efficacious alternative remedy under se...
SEBI : SEBI clarified that clients under Non-Discretionary PMS can pledge securities held in their demat accounts for personal borrowing....
SEBI : SEBI has modified the Monthly Cumulative Report format for mutual funds following the introduction of new scheme categories. The r...
SEBI : SEBI issued a revised Master Circular consolidating surveillance-related directions for stock exchanges, listed companies, interme...
SEBI : SEBI issued clarifications after revised PAN application forms under the Income-tax Rules, 2026 created compliance challenges for ...
SEBI : SEBI has clarified that InvITs with borrowings exceeding 49% of asset value can use fresh debt for capital expenditure, road maint...
Statements made about the performance or activities of the Portfolio Manager in the absence of necessary explanatory or qualifying statements, which may give an exaggerated picture of the performance or activities of the Portfolio Manager, than what it really is.
This is to facilitate the last purchaser, in the event of any problems of bad delivery etc., to approach the first introducing broker for rectification of defect(s). However in the absence of any indication of Stock Exchange of which the introducing broker is a member, this task is rendered rather difficult.
– For the purposes of this clause the Board shall take into account whether a previous application for a certificate of any person directly or indirectly connected with the applicant has been rejected by the Board or any disciplinary action has been taken against such person under the Act or any of the Rules or any of the Regulations made under the Act]
In terms of the powers vested with the SEBI under the above Section of the Securities Contracts(Regulations) Act, 1956, you are advised to please send a copy each of the audited Balance Sheet and Profit and Loss account for the financial year 1992-93 and onwards to the SEBI also.
Members of Stock Exchanges of Bombay, Delhi, Calcutta, and Madras may apply to SEBI through their respective stock exchanges indicating their SEBI registration number, the scrips in which they wish to make market, their turnover in 1991-1992 on the basis of which they have paid SEBI registration fee.
In terms of Regulation 55(i) of Securities and Exchange Board of India (Mutual Funds) Regulations 1993, the Board has prescribed New Scheme Report to be submitted by all Mutual Funds. The prescribed formats of the Report, viz
certain suggestions were made to improve the working and practices and procedures at the Exchange. These suggestions have already been forwarded to you and you were also advised to submit periodical progress reports on implementation of these suggestions.
The Board may require the applicant to furnish further information or clarifications regarding activities and matters connected thereto to consider the application for grant of a certificate.
Please refer to the earlier correspondence on the subject resting with our letter no. SMD/SED/0049/93 dated January 1, 1993. The Board after taking into account suggestions made by various stock exchanges has decided to direct the stock exchanges.
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.
