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Subsequent to these amendments, every registered merchant banker, (including a merchant banker who is an NBFC or is undertaking activities other than those related to the securities market and who has neither applied for transfer of certificate of registration to a new entity.
It was also decided that the Clearing Houses of the Stock Exchanges and Clearing Corporations should accept dematerialised shares in cases of rectification of company objections.
When two or more corporate broking firms merge leading to creation of a new entity, the SEBI registration granted to the extinguishing entity does not automatically devolve upon the emerging entity and the new entity has to fulfil the eligibility criteria and apply afresh for registration and pay the registration fees.
A security would be considered as volatile if the price of the security varies by plus minus 16% or more in a single trading cycle. For the purpose of computing this price variation, the closing price at the end of each day of the security will be compared with the closing price at the end of the previous settlement.
The approval to NCFM is granted subject to your abiding by all directives issued by SEBI from time to time and the guidelines for conduct of certification examination as enclosed. The NSE may start certification for broker/dealers and salespersons in the derivative market on fulfillment of the conditions as laid down.
In such cases Collecting Branches of the Issuer Bank will transfer the balance in their issue accounts at the end of each working day to the Controlling Branch of the Bank, who in turn will transfer the balance in the collection account to the principal account
Certain measures were taken by SEBI yesterday i.e. (June 15, 1998) in consultation with the Inter-Exchange Surveillance Group and the Stock Exchanges regarding the introduction of concentration margins and incremental margin on Carry Forward trades. The market position was further reviewed today and in consultation with Stock
Payment of fees: The credit will be given for fees paid by the earlier merchant banking entity (transferor) to the entity to which the registration is being transferred (transferee).
All Exchanges are therefore required to adhere to the said format and certify that the transferor has paid SEBI turnover fees for all the previous years including that related to transactions of the current year and that there are no fee dues payable to SEBI by the transferor member.
Every listed company should in each annual report specify the name and address of each Stock Exchange at which the company’s securities are listed and whether the company has paid the annual listing fees to each such Exchange.
