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means an offer of sale or purchase of securities by any body corporate or by any other person or group of persons on his or its or their behalf, as the case may be, to or from the public, or the holders of securities of such body corporate or person or group of persons
As specified in Schedule III under regulation 15(1)(a) of SEBI (Stock brokers & Sub- Brokers) Rules & Regulations , 1992, these registered sub-brokers have to pay the renewal fees of Rs 1000/- on or before the 1st day of October 1994.
Government of India have issued norms relating to Multiple Membership in Stock exchanges vide F No : 1/26/SE/91 dated 12.9.1991 which interalia stipulates eligibility criteria at (1)(a) that a member should have operated his membership for a peroid of at least 5 years before seeking membership to another Stock Exchange.
The details are mentioned on the refund orders/cheques along with the applicant’s name. This avoids the a possibility of the refund orders being stolen or being illegally misappropriated.
Accordingly the stock exchanges are advised that no deposit be collected from the mutual funds in respect of the schemes floated by them for public subscription which are sought to be listed at the stock exchanges. These instructions may be given effect to immediately.
It has come to our notice that at times the stock exchanges grant permission for trading for certain securities on the basis of a certificate by the concerned company that it has commenced the despatch of share certificates/relevant securities.
Considering the recurring thefts of dividend warrants/refund orders/ interest warrants, the Securities & Exchange Board of India has requested the companies to institute a procedure of requesting the shareholder to indicate his account number and bank branch so that the cheques /drafts/warrants sent to the shareholder include the details of his account number and the designated bank branch.
The matter was also raised in SEBI’s Secondary Markets Advisory Committee and the Committee was of the view that all the above claims against the defaulting member should be ranked on par and rateably distributed.
The matter was also raised in SEBI’s Secondary Markets Advisory Committee and the Committee was of the view that all the above claims against the defaulting member should be ranked on par and rateably distributed.
Under Regulation 11 of SEBI (Stock Brokers and Sub-Brokers) Rules and Regulations, 1992 the stock exchanges are required to forward the applications of sub-brokers to SEBI after certifying that the applicants are eligible for registration.
