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This is to facilitate the last purchaser, in the event of any problems of bad delivery etc., to approach the first introducing broker for rectification of defect(s). However in the absence of any indication of Stock Exchange of which the introducing broker is a member, this task is rendered rather difficult.
– For the purposes of this clause the Board shall take into account whether a previous application for a certificate of any person directly or indirectly connected with the applicant has been rejected by the Board or any disciplinary action has been taken against such person under the Act or any of the Rules or any of the Regulations made under the Act]
In terms of the powers vested with the SEBI under the above Section of the Securities Contracts(Regulations) Act, 1956, you are advised to please send a copy each of the audited Balance Sheet and Profit and Loss account for the financial year 1992-93 and onwards to the SEBI also.
Members of Stock Exchanges of Bombay, Delhi, Calcutta, and Madras may apply to SEBI through their respective stock exchanges indicating their SEBI registration number, the scrips in which they wish to make market, their turnover in 1991-1992 on the basis of which they have paid SEBI registration fee.
In terms of Regulation 55(i) of Securities and Exchange Board of India (Mutual Funds) Regulations 1993, the Board has prescribed New Scheme Report to be submitted by all Mutual Funds. The prescribed formats of the Report, viz
certain suggestions were made to improve the working and practices and procedures at the Exchange. These suggestions have already been forwarded to you and you were also advised to submit periodical progress reports on implementation of these suggestions.
The Board may require the applicant to furnish further information or clarifications regarding activities and matters connected thereto to consider the application for grant of a certificate.
Please refer to the earlier correspondence on the subject resting with our letter no. SMD/SED/0049/93 dated January 1, 1993. The Board after taking into account suggestions made by various stock exchanges has decided to direct the stock exchanges.
As you are aware, with the spate of issues of rights shares and fully and convertible debentures in the current financial year (i.e. 1992-93), the volume of odd lot shares and debentures has reportedly increased manifold, but the secondary market for them is not that active.
In this connection, we have been requested by the Ministry of Finance to send them immediately a detailed report on the progress made by the stock exchanges on implementation of these directives. As SEBI has issued fresh directives vide its letter SMD-II.11615/92 dated 20.11.92,
