INDEX

1. Limitation period for filing an arbitration reference

2. Review of annual issuers‘charges

3. Applications supported by blocked amount (ASBA) facility

4. Clarification on circular dated December 3, 2009 on dealings between a client and a stock broker

5. Self clearing member in the currency derivatives segment

6. Adjustment of differential pricing amount at the time of application for allotment of specified securities

7. Option to hold units in DEMAT form

8. Liquidity enhancement schemes for illiquid securities in equity derivatives segment

9. Periodical report –grant of prior approval to members of stock exchanges/sub-brokers

10. Processing of investor complaints against listed companies in SEBI complaints redress system (SCORES)

11. Redemption of Indian Depository Receipts (IDRS) into underlying equity shares

12. Pre- funded instruments / electronic fund transfers

13. Standardisation of rating symbols and definitions

14. Change of name by listed companies Modification to investor protection fund (IPF)/ customer protection fund (CPF) guidelines

15. Periodical report- grant of prior approval to depository participants

16. Periodical report- grant of prior approval to credit rating agencies

17. Periodical report- grant of prior approval to merchant bankers

18. Periodical report- grant of prior approval to underwriters

19. Periodical report- grant of prior approval to registrars to an issue and share transfer agents Shareholding of promoter / promoter group to be in dematerialized mode

20. Periodical report- grant of prior approval to bankers to an issue

21. Periodical report- grant of prior approval to debenture trustees

22. Review of internet based trading (ibt) and securities trading using wireless technology (stwt)

23. Modification of client codes of non-institutional trades executed on stock exchanges (all segments)

24. Clarification regarding admission of limited liability partnerships as members of stock exchanges

25. Allocation of government debt long term limits to fiis Indicative portfolio or yield in close ended debt oriented mutual fund schemes

26. Revised procedure for seeking prior approval for change in control through single window Sms and e-mail alerts to investors by stock exchanges

27. Investment by foreign investors in mutual fund schemes Short-collection/non-collection of client margins (derivatives segments)

28. Circular on mutual funds Processing of investor complaints in SEBI complaints redress system (SCORES)

29. Redressal of investor grievances against stock brokers and sub-brokers in SEBI complaints redress system (scores)

30. Infrastructure finance companies (IFCS) –as eligible issuers for FIIS investment limit in debt instrument for infrastructure

31.Amendment to SEBI (mutual funds) regulations, 1996 Redressal of investor grievances against Depository Participants (DPs) in SEBI complaints redress system (SCORES)

32. Securities and Exchange Board of India (Substantial Acquisition of Shares and Takeover) Regulations, 2011 and consequential amendments to Clause 35 of the equity Listing agreement

33. Contents of application-cum-bidding form and manner of disclosure

34. Disclosure of price information of past issues handled by merchant bankers

35. Filing offer documents with SEBI under SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009

36. Guidelines for issue and listing of structured products/ market linked Debentures

37. Revisions in FII investments in corporate debt long term infra category

38. Clarification on 100% promoter holding in DEMAT form

39. Amendments to the equity, IDR and SME equity listing agreements

40. Uniform know your client (KYC) requirements for the securities markets

41. Establishment of connectivity with both depositories NSDL and CDSL –companies eligible for shifting from trade for trade settlement (TFTS) to normal rolling settlement

42. Reporting format under Regulation 11 of Securities Contracts (Regulation) (Manner of increasing and maintaining public shareholding in Recognised Stock Exchanges) regulations, 2006

43. In-person‘verification (IPV) of clients by subsidiaries of stock exchanges, acting as stock brokers

44. Participation of mutual funds in repo in corporate debt securities

45. Increase in FII debt limit in government & corporate debt category

46. Guidelines on outsourcing of activities by intermediaries

47. Establishment of connectivity with both depositories NSDL and CDSL –companies eligible for shifting from trade for trade settlement (TFTS) to normal rolling settlement

48. Public issue of debt securities- prohibition on payment of incentives

49. Changes in Re-investment period of FII debt limit

50. Investment by qualified foreign investors (QFI) in Indian Equity Shares

51. Call auction in pre-open session for initial public offering (IPO) and other category of scrips

52. Trade controls in normal trading session for initial public offering (IPO) and other category of scrips

53. Investor grievance redressal mechanism at stock exchanges

54. Composition of arbitration committee

55. Eligibility criteria for qualified depository participant

56. Offer for sale of shares by promoters through the stock exchange mechanism

57. Amendments to the equity listing agreement

58. Guidelines in respect of the disclosures to be made in the letter of offer in respect of buy-back of securities in terms of SEBI (buy-back of securities) regulations, 1998 and format of standard letter of offer

59. Allocation of corporate debt long term category to FIIs Standardized lot size for SME exchange / platform Circular for mutual funds

60. Guidelines for credit rating agencies

61. Clearing and settlement of OTC trades in commercial paper (CPs) & certificates of deposit (CDs)

62. Allocation of debt limits in corporate debt old and government debt long term category to FIIs

63. Broad guidelines on algorithmic trading

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Category : SEBI (2736)
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Tags : CS Brijesh Mathur (10)

0 responses to “Quick Referencer On Sebi Circulars (April, 2011 – March, 2012)”

  1. Nagaraja shenoy says:

    can we download the sam? it would be great if you allow the user to download it. Useful article. Thanks

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