SECURITIES AND EXCHANGE BOARD OF INDIA

NOTIFICATION

Mumbai, the 16th March, 2021

SECURITIES AND EXCHANGE BOARD OF INDIA (RESEARCH ANALYSTS) (AMENDMENT) REGULATIONS, 2021

No. SEBI/LAD-NRO/GN/2021/09.—In exercise of the powers conferred by sub-section (1) of section 30 read with clause (b) of sub-section (2) of section 11 of the Securities and Exchange Board of India Act, 1992 (15 of 1992), the Securities and Exchange Board of India hereby makes the following regulations to further amend the Securities and Exchange Board of India (Research Analysts) Regulations, 2014, namely, –

1. These Regulations may be called the Securities and Exchange Board of India (Research Analysts) (Amendment) Regulations, 2021.

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 (Research Analysts) Regulations, 2014,-

I. in sub-regulation (1) of regulation 7,

i. clause (iii) shall be renumbered as (iv) and before the clause so renumbered, the following clause shall be inserted, namely, –

“(iii) a professional qualification by completing a Post Graduate Program in the Securities Market (Research Analysis) from NISM of a duration not less than one year; or”

AJAY TYAGI, Chairman
[ADVT.-III/4/Exty./535/2020-21]

Footnote:

1. The Securities and Exchange Board of India (Research Analysts) Regulations, 2014, were published in the Gazette of India on September 01, 2014 vide No. SEBI/LAD-NRO/GN/ 2014-15/07/1414.

2. The Securities and Exchange Board of India (Research Analysts) Regulations, 2014 were subsequently amended on, –

a. 8th December, 2016 by the Securities and Exchange Board of India (Change in Conditions of Registration of Certain Intermediaries) (Amendment) Regulations, 2016 vide No. SEBI/LAD-NRO/GN/2016-17/023.

b. 17th April, 2020 by the Securities and Exchange Board of India (Regulatory Sandbox) (Amendment) Regulations, 2020 vide No. SEBI/LAD-NRO/GN/2020/10.

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