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SEBI has received queries from Stock Exchanges regarding course of action to be taken against the stock-brokers, who are having multiple memberships, and have been declared defaulter at one of the Stock Exchanges. It has also been brought to our notice that if a stock broker is declared defaulter by a stock exchange, the information with regard to his default, is not being passed on to other Stock Exchanges.
Clarifications have been sought on the scope of the SEBI directions issued on December 23, 1996 as to whether it would cover corporates or only infrastructure companies and municipal corporations, and further whether the directions also cover debt instruments convertible into equity.
When any person acquires or agrees to acquire any securities beyond 5% of the voting capital, the acquirer and the company shall comply with the relevant provisions of the SEBI (Substantial Acquisition of Shares Takeovers) Regulations, 1997.
You may bring this to the notice of your members, however, warehousing of transactions may be permitted only after the exchange has modified its trading software to comply with the above conditions.
n exercise of the powers conferred under Section 11 of the SEBI Act, 1992 as also in implementation of the SEBI (Bankers to an Issue) Rules and Regulations, 1994, all bankers to an issue are hereby advised to affix date stamp alongwith a continuous serial number generated by an automatic numbering machine
In exercise of the powers conferred under Section 11 of the SEBI Act, 1992 as also in implementation of the SEBI (Bankers to an Issue) Rules and Regulations, 1994, all bankers to an issue are hereby advised to affix date stamp alongwith a continuous serial number generated by an automatic numbering machine
It has therefore been decided that in cases of Company Objection due to fake/forged/stolen shares, the Clearing House/Clearing Corporation may compulsorily put the shares for Auction, and if necessary Close-out, and no opportunity for rectification may be given to the Introducing Broker
SEBI : Compliance Test Formats
This procedure shall be implemented immediately from the month of September 1997 and the Monthly status report should be sent before 5th of every month. These reports shall be sent by different Stock Exchanges to respective Regional Offices of SEBI.
The successful applicants of new issues will be issued share certificates / instruments for eligible number of shares in tradeable lots. The minimum tradeable lot, in case of shares of face value of Rs. 10/- each, shall at the option of the issuer/offeror, be fixed on the basis of offer price
