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Sub Sub Section Intermediary Info For

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Date	Type	Title
May 22, 2024	Master Circulars	Master Circular for issue and listing of Non-convertible Securities, Securitised Debt Instruments, Security Receipts, Municipal Debt Securities and Commercial Paper
May 22, 2024	Master Circulars	Master Circular for Stock Brokers
Feb 07, 2023	Reports	Consultation paper on institutional mechanism for Stock Brokers to ensure prevention and detection of fraud or market abuse
Jun 01, 2018	Master Circulars	Master Circular for Stock Brokers
Dec 20, 2016	Circulars	Enhanced Supervision of Stock Brokers and Depository Participants
Sep 26, 2016	Circulars	Enhanced Supervision of Stock Brokers and Depository Participants
Jan 24, 2013	Circulars	Guidelines on Identification of Beneficial Ownership
Dec 07, 2012	Circulars	Oversight of Members (Stock Brokers/Trading Members/Clearing Members of any segment of Stock Exchanges/Clearing Corporations)
Feb 15, 2012	Circulars	Investor Grievance Redressal Mechanism at Stock Exchanges
Jan 20, 2012	Circulars	Composition of arbitration committee
Jan 20, 2012	Circulars	Investor Grievance Redressal Mechanism at Stock Exchanges
Dec 23, 2011	Others	Guidelines in pursuance of the SEBI KYC Registration Agency (KRA) Regulations, 2011 and for In-Person Verification (IPV)
Dec 15, 2011	Others	Guidelines on Outsourcing of Activities by Intermediaries
Dec 02, 2011	Circulars	The Securities and Exchange Board of India (KYC Registration Agency) Regulations, 2011
Oct 25, 2011	Circulars	In-person verification (IPV) of clients by subsidiaries of Stock Exchanges, acting as Stock Brokers
Oct 05, 2011	Others	Uniform Know Your Client (KYC) requirements for the securities market
Aug 25, 2011	Circulars	Redressal of investor grievances against stock brokers and sub- brokers in SEBI Complaints Redress System (SCORES)
Aug 22, 2011	Circulars	Simplification and Rationalization of Trading Account Opening Process
Aug 17, 2011	Regulations	Securities And Exchange Board Of India (Stock Brokers And Sub-Brokers) (Second Amendment) Regulations, 2011
Aug 02, 2011	Circulars	Revised procedure for seeking prior approval for change in control through single window
Aug 02, 2011	Circulars	SMS and E-mail alerts to investors by stock exchanges
Jul 11, 2011	Circulars	Clarification regarding admission of Limited Liability Partnerships as members of Stock Exchanges
Jul 05, 2011	Others	Modification of Client Codes of Non-institutional Trades Executed on Stock Exchanges (All Segments)
Jun 30, 2011	Circulars	Review of Internet Based Trading (IBT) and Securities trading using Wireless Technology (STWT)
Jun 16, 2011	Circulars	Modification to Investor Protection Fund (IPF)/ Customer Protection Fund (CPF) Guidelines

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