SECURITIES AND EXCHANGE BOARD OF INDIA

NOTIFICATION

Mumbai, the 1st January, 2020

SECURITIES AND EXCHANGE BOARD OF INDIA (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) (SEVENTH AMENDMENT) REGULATIONS, 2019

No. SEBI/LAD-NRO/GN/2020/1.—In exercise of the powers conferred under section 30 of the Securities and Exchange Board of India Act, 1992 (15 of 1992), the Board hereby makes the following Regulations to further amend the Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) Regulations, 2018, namely:—

1. These regulations may be called the Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Seventh Amendment) Regulations, 2019.

2. They shall come into force on the date of their publication in the Official Gazette.

3. In the Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) Regulations, 2018,-

I. in regulations 4, 29, 43, 44, 101, 127, 139, 140, 152, 156, 182, 186, 189, 201, 227, 250, 264 and 265, for the word “registering”, wherever it occurs, the word “filing” shall be substituted.

II. in regulations 25 and 123, the words “registering or” shall be omitted.

III. in regulations 25 and 123, for the word “registering”, wherever it occurs, the word “filing” shall be substituted.

IV. in regulations 29, 127, 189 and 250, for the word “registered”, the word “filed” shall be substituted.

V. in regulation 246, for the word “registration” the word “filing” shall be substituted.

VI. in Schedule V,-

i. in form C, for the word “registering” the word “filing” shall be substituted;

ii. in form C, for the word “registered” the word “filed” shall be substituted;

iii. in form D, for the word “registered” the word “filed” shall be substituted.

VII. in Schedule VI, Part A,-

i. for the word “registering” the word “filing” shall be substituted;

ii. in clause (7), in sub-clause (O), in para (d), for the word “registered” the word “filed” shall be substituted;

iii. in clause (14), in sub-clause (S), in para (6), for the word “registered” the word “filed” shall be substituted.

VIII. in Schedule XIII, in Part A,-

i. for the word “registering” the word “filing” shall be substituted;

ii. in clause (3), in sub-clause (c) for the word “registered” the word “filed” shall be substituted;

iii. in clause (14), for the word “registered” the word “filed” shall be substituted.

AJAY TYAGI, Chairman
[ADVT.-III/4/Exty./390/19]

Footnotes:

1. The Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) Regulations, 2018 was published in the Gazette of India on September 11, 2018, vide notification No. SEBI/LAD-NRO/GN/2018/31.

2. The Principal Regulation was subsequently amended on –

(a) December 31, 2018 by the Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2018, vide notification No. SEBI/LAD-NRO/GN/2018/57.

(b) March 29, 2019 by the Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2019, vide notification No. SEBI/LAD-NRO/GN/2019/05.

(c) April 5, 2019 by the Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Second Amendment) Regulations, 2019, vide notification No. SEBI/LAD-NRO/GN/2019/08.

(d) July 29, 2019 by the Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Third Amendment) Regulations, 2019, vide notification No. SEBI/LAD-NRO/GN/2019/29.

(e) September 23, 2019 by the Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Fourth Amendment) Regulations, 2019, vide notification No. SEBI/LAD-NRO/GN/2019/35.

(f) December 06, 2019 by the Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Fifth Amendment) Regulations, 2019, vide notification No. SEBI/LAD-NRO/GN/2019/42.

(g) December 26, 2019 by the Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Sixth Amendment) Regulations, 2019, vide notification No. SEBI/LAD-NRO/GN/2019/47.

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