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Date
Type
Title
Mar 11, 2024
Circulars
Measures to instill trust in securities market – Expanding the framework of Qualified Stock Brokers (QSBs) to more stock brokers
Dec 12, 2023
Circulars
Upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs)
Aug 28, 2023
Recovery Proceedings
SEBI Order for Compliance – Completion Order for Recovery Certificate No.6950 of 2023 against Shaswat Stock Brokers Pvt. Ltd. (PAN: NA) in the matter of ASE Capital Markets Ltd.
Aug 21, 2023
Orders
Adjudication Order in respect of Blue Angel Stock Brokers Pvt Ltd in the matter of dealings in Illiquid Stock Options on BSE
Aug 18, 2023
Regulations
Securities and Exchange Board of India (Stock Brokers) Regulations 1992 [Last amended on August 18, 2023]
Jul 24, 2023
Recovery Proceedings
SEBI Order for Compliance – Notice of Demand for Recovery Certificate No. 6950 of 2023 against Shaswat Stock Brokers Pvt. Ltd. (PAN: NA) in the matter of ASE Capital Markets Ltd.
Jul 24, 2023
Regulations
Securities and Exchange Board of India (Stock Brokers) Regulations 1992 [Last amended on July 24, 2023]
Jul 24, 2023
Regulations
Securities and Exchange Board of India (Stock Brokers) (Second Amendment) Regulations, 2023
Jun 30, 2023
Circulars
Implementation of circular on upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs)
Jun 21, 2023
Gazette Notification
Commencement notification for Execution Only Platforms under the Securities and Exchange Board of India (Stock Brokers) Regulations, 1992
Jun 08, 2023
Circulars
Upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs)
Jun 02, 2023
Circulars
Transactions in corporate bonds through Request for Quote platform by Stock Brokers (SBs)
May 17, 2023
Master Circulars
Master Circular for Stock Brokers
Mar 14, 2023
Orders
Settlement Order in the matter of settlement applications filed under the SEBI Settlement Scheme for Stock Brokers - 2022
Feb 15, 2023
Circulars
Maintenance of a website by stock brokers and depository participants
Feb 07, 2023
Regulations
Securities and Exchange Board of India (Stock Brokers) Regulations, 1992 [Last amended on February 07, 2023]
Feb 07, 2023
Circulars
Grant of extension of time to entities operating/ desirous of operating as Online Bond Platform Providers (OBPPs) for making an application to obtain certificate of registration as a stock broker under the Securities and Exchange Board of India (Stock Brokers) Regulations, 1992
Feb 07, 2023
Reports
Consultation paper on institutional mechanism for Stock Brokers to ensure prevention and detection of fraud or market abuse
Feb 06, 2023
Circulars
Enhanced obligations and responsibilities on Qualified Stock Brokers (QSBs)
Feb 03, 2023
Reports
Consultation paper on safeguarding clients’ funds placed with stock brokers/ Clearing Members (CMs): Upstreaming of clients’ funds to Clearing Corporations (CCs)
Jan 17, 2023
Regulations
Securities and Exchange Board of India (Stock Brokers) Regulations, 1992 [Last amended on January 17, 2023]
Jan 17, 2023
Regulations
Securities and Exchange Board of India (Stock Brokers) (Amendment) Regulations, 2023
Nov 28, 2022
Public Notices
Public Notice in respect of SEBI Settlement Scheme for 150 Stock Brokers, 2022
Nov 25, 2022
Circulars
Framework to address the ‘technical glitches’ in Stock Brokers’ Electronic Trading Systems
Nov 25, 2022
Orders
Adjudication Order in respect of S.P.J. Stock Brokers Private Ltd. in the matter of Era Constructions India Ltd.
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