SEBI Circular Implemented By VSE

SEBI Circular Implemented By VSE for Oct-2006 to Sep-2009

SEBI Letter no. MIRSD-1/197689/2010 dated 8th March 2010 regarding Two orders passed by SEBI against members of Vadodara Stock Exchange Ltd pursuant to Summary Proceedings

Guidelines for market makers on Small and Medium Enterprise (SME) exchange/separate platform of existing exchange having nation wide terminal

Company Law settlement scheme, 2010

Easy Exit scheme, 2010

ORDER OF SUMMARY PROCEEDINGS AGAINST THE STOCK BROKERS WHO DEFAULTED IN THE PAYMENT OF REGISTRATION FEES, ORDER DATED 17TH SEPTEMBER, 2010.

Order Nos 69/2010, 70/2010 of the Whole Time Member dated September 17, 2010 against brokers of your exchange who had defaulted in payment of fees in the manner specified in the SEBI (Stock Brokers and Sub-Brokers), Regulations 1992

Circular for year 2010
Date Subject
3 Jan, 2011 Modifications to client code post trade execution
27 April, 2011 Review of Annual Issuers' charges.
29 April, 2011 Applications Supported by Blocked Amount (ASBA) facility
13 May, 2011 Clarification on circular dated December 3, 2009 on 'Dealings between a Client and a Stock broker
2 Jun, 2011 Liquidity Enhancement Schemes for Illiquid Securities in Equity Derivatives Segment
3 Jun, 2011 Periodical Report – Grant of prior approval to members of stock exchanges/sub-brokers
3 Jun, 2011 Processing of investor complaints against listed companies in SEBI Complaints Redress System (SCORES)
16 Jun, 2011 Change of Name by Listed Companies
16 Jun, 2011 Modification to Investor Protection Fund (IPF)/ Customer Protection Fund (CPF) Guidelines
17 Jun, 2011 Periodical Report – Grant of prior approval to Depository Participants
17 Jun, 2011 Shareholding of promoter / promoter group to be in dematerialized mode
30 Jun, 2011 Review of Internet Based Trading (IBT) and Securities trading using Wireless Technology (STWT)
02 Aug, 2011 Revised procedure for seeking prior approval for change in control through single window
02 Aug, 2011 SMS and E-mail alerts to investors by stock exchanges
16 Aug, 2011 Securities and Exchange Board of India (Prohibition of Insider Trading) (Amendment) Regulations, 2011.
22 Aug, 2011 Simplification and Rationalization of Trading Account Opening Process.
23 Sep, 2011 Securities and Exchange Board of India (Substantial Acquisition of Shares and Takeovers) Regulations, 2011 and consequential amendments to Clause 35 of the Equity Listing Agreement.
28 Sep, 2011 Filing Offer Documents with SEBI under SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009
5 Oct, 2011 Amendments to the Equity, IDR and SME Equity Listing Agreements
5 Oct, 2011 Uniform Know Your Client (KYC) Requirements for the Securities MarketsCategory
20 Oct, 2011 SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011 (The Regulations)
24 Oct, 2011 Reporting format under Regulation 11 of Securities Contracts (Regulation) (Manner of Increasing and Maintaining Public Shareholding in Recognised Stock Exchanges) Regulations, 2006.
25 Oct, 2011 ‘In-person’ verification (IPV) of clients by subsidiaries of stock exchanges, acting as stock brokers.
22 Nov, 2011 SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011 (The Regulations)
29 Nov, 2011 Annual System Audit
2 Dec, 2011 The Securities and Exchange Board of India (KYC Registration Agency) Regulation, 2011.
15 Dec, 2011 Guidelines on Outsourcing of Activities by Intermediaries
23 Dec, 2011 Guidelines in pursuance of the SEBI KYC Registration Agency (KRA) Regulations, 2011 and for In-Person Verification (IPV).
13 Jan, 2012 Investment by Qualified Foreign Investors (QFI) in Indian equity shares.
20 Jan, 2012 Composition of arbitration committee.
20 Jan, 2012 Investor Grievance Redressal Mechanism at Stock Exchanges.
20 Jan, 2012 Trade controls in Normal Trading Session for Initial Public Offering (IPO) and other category of scrips.
08 Feb, 2012 Amendments to the Equity Listing Agreement.
09 Feb, 2012 Guidelines in respect of the disclosures to be made in the Letter of offer in respect of Buy-back of securities in terms of SEBI (Buy-back of Securities) Regulations, 1998 and Format of Standard letter of offer.
15 Feb, 2012 Investor Grievance Redressal Mechanism at Stock Exchanges.
21 Feb, 2012 Standardized lot size for SME Exchange / Platform
30 Mar, 2012 Broad Guidelines on Algorithmic Trading
30 Mar, 2012 Exemptions from 100% promoter(s) holding in demat form
13 Apr, 2012 Processing of investor complaints against listed companies in SEBI Complaints Redress System (SCORES)
13 Apr, 2012 Uploading of the existing clients’ KYC details in the KYC Registration Agency (KRA) system by the intermediaries
13 Apr, 2012 Guidelines for Business Continuity Plan (BCP) and Disaster Recovery (DR) All Stock Exchanges / All Depositories
16 Apr, 2012 Amendments to the Equity Listing Agreement – Formats for Disclosure of Financial Results
16 Apr, 2012 Processing of investor complaints against companies applying for listing of debt securities in SEBI SCORES system
30 May, 2012 Exit Policy for De-recognized/ Non-operational Stock Exchanges
15 Jun, 2012 Redressal of complaints against Stock Exchanges (SEs) and Depositories through SEBI Complaints Redress System (SCORES).
22 Jun, 2012 Clarification to the “Guidelines for Business Continuity Plan (BCP) and Disaster Recovery (DR) Circular dated April 13, 2012”.
5 Jul, 2012 Reduction of Time-line for Transfer of Equity Shares and Prescription of Time-line for Transfer of Debt Securities.
13 Jul, 2012 Amendment to the Equity Listing Agreement - Platform for E-Voting by Shareholders of Listed Entities.
13 Aug, 2012 Redressal of investor grievances against listed companies in SEBI Complaints Redress System (SCORES).
13 Aug, 2012 Manner of Dealing with Audit Reports filed by Listed companies.
13 Aug, 2012 Aadhaar Letter as Proof of Address for Know Your Client (KYC) norms.
13 Aug, 2012 Business Responsibility Reports.
28 Aug, 2012 Facility for a Basic Services Demat Account (BSDA)
28 Aug, 2012 Rationalization of process relating to surrender of registration by sub-brokers
28 Aug, 2012 Rationalization of process relating to surrender of registration by sub-brokers
05 Sep, 2012 Know Your Client Requirements
21 Sep, 2012 Processing of Investor complaints against KRA {KYC (Know Your Client) Registration Agency} in SEBI Complaints Redress System (SCORES)
21 Sep, 2012 Printing of Grievances Redressal Mechanism on Delivery Instruction Form Book
26 Sep, 2012 Review of Margining with respect to Exchange Traded Funds (ETFs)
04 Oct, 2012 Public issues in electronic form and use of nationwide broker network of Stock Exchanges for submitting application forms
01 Nov, 2012 Change of Name in the Beneficial Owner (BO) Account
07 Nov, 2012 Arbitration Mechanism in Stock Exchanges
20 Nov, 2012 Mini derivative (Futures & Options) contract on Index (Sensex & Nifty)
06 Dec, 2012 Rajiv Gandhi Equity Savings Scheme, 2012
07 Dec, 2012 Oversight of Members (Stock Brokers/Trading Members/Clearing Members of any segment of Stock Exchanges/Clearing Corporations)
13 Dec, 2012 Pre-trade Risk Controls
13 Dec, 2012 Procedural norms on Recognitions, Ownership and Governance for Stock Exchanges and Clearing Corporations.
19 Dec, 2012 Requirement of Base Minimum Capital for Stock Broker and Trading Member
03 Jan, 2013 Clarification on Clause 36 of the Equity Listing Agreement
04 Jan, 2013 Rationalisation process for obtaining PAN by Investors
17 Jan, 2013 Amendments to SEBI (Employee Stock Option Scheme and Employee Stock Purchase Scheme) Guidelines, 1999 and Equity Listing Agreement.
24 Jan, 2013 Guidelines on Identification of Beneficial Ownership
08 Feb, 2013 Liquidity Enhancement Schemes for Illiquid Securities in Equity Cash market
14 Feb, 2013 Introduction of Periodic Call Auction for Illiquid Scrips and Extension of Pre-open Session to all Scrips
21 Mar, 2013 Usage of electronic payment modes for making cash payments to the Investors
28 Mar, 2013 Amendment to SEBI {(Know Your Client) Registration Agency} Regulations, 2011 and relevant circulars
17 Apr, 2013 Redressal of Investor Grievances through SEBI Complaints Redress System (SCORES)
13 May, 2013 SEBI Circular No. CIR/CFD/DIL/3/2013 dated January 17, 2013 -Amendments to SEBI (Employee Stock Option Scheme and Employee Stock Purchase Scheme) Guidelines, 1999 and Equity Listing Agreement Clarification
21 May, 2013 Scheme of Arrangement under the Companies Act, 1956 – Revised requirements for the Stock Exchanges and Listed Companies - Clarification
05 Jun, 2013 Clarification on SEBI's Circular dated August 13, 2012 providing for the "Manner of Dealing with Audit Reports filed by Listed Companies"
08 Jul, 2013 Revised Position Limits for Exchange Traded Currency Derivatives
27 Aug, 2013 General Guidelines for dealing with Conflicts of Interest of Intermediaries, Recognised Stock Exchanges, Recognised Clearing Corporations,Depositories and their Associated Persons in Securities Market.
03 Sept, 2013 Index based market-wide circuit breaker mechanism
04 Sept, 2013 Principles of Financial Market Infrastructures (PFMIs)
12 Sept, 2013 Know Your Client Requirements for Eligible Foreign Investors
17 Sept, 2013 Formats for filing reports in terms of regulation 15(i) and 20(j) of SEBI Buy Back of Securities) regulations , 1998
24 Sept, 2013 Establishment of Connectivity with both depositories NSDL and CDSL – Companies eligible for shifting from Trade for Trade Settlement (TFTS) to Normal Rolling Settlement
26 Sept, 2013 Investor Grievance Redressal Mechanism
30 Sept, 2013 Simplification of registration requirements for Stock Brokers
30 Sept, 2013 Amendment to bye-laws of recognised stock exchanges with respect to non-compliance of certain listing conditions and adopting Standard Operating Procedure for suspension and revocation of trading of shares of listed entities for such non compliances.
8 Oct, 2013 Know Your Client Requirements
21 Oct, 2013 Formats under SEBI (Substantial Acquisition of Shares and Takeovers) Regulations,2011(Regulations).
22 Oct, 2013 Centralized Database for Corporate Bonds/ Debentures
23 Oct, 2013 General Information Document
24 Oct, 2013 Listing of specified securities of small and medium enterprises on the Institutional Trading Platform in a SME Exchange without making an initial public offer.
28 Oct, 2013 Disclosure of Investor Complaints on websites of Stock Exchanges
28 Oct, 2013 Standardisation and Simplification of Procedures for Transmission of Securities
29 Oct, 2013 Issues pertaining to primary issuance of debt securities
06 Nov, 2013 Annual System Audit of Stock Brokers/Trading Members
18 Nov, 2013 Compliance with the provisions of Equity Listing Agreement by listed companies-Monitoring by Stock Exchanges
29 Nov, 2013 SEBI Circular No. CIR/CFD/DIL/3/2013 dated January 17, 2013 and – CIR/CFD/DIL/7/2013 dated May 13, 2013 – Extension of time line for alignment
4 Dec, 2013 Simplification of demat account opening process
5 Dec, 2013 Exchange Traded Cash Settled Interest Rate Futures (IRF) on 10-Year Government of India Security
16 Dec, 2013 Establishment of Connectivity with both depositories NSDL and CDSL – Companies eligible for shifting from Trade for Trade Settlement (TFTS) to Normal Rolling Settlement
26 Dec, 2013 Know Your Client Requirements
7 Jan, 2014 Delivery Instruction Slip (DIS) Issuance and Processing
7 Jan, 2014 Reporting of Trades in Securitised Debt Instruments in Trade Reporting Platforms and Clearing and Settlement of trades in Securitised Debt Instruments through Clearing Corporations
28 Mar, 2014 Commencement of Foreign Portfolio Investor ("FPI") regime.
7 Apr, 2014 Margins for USD-INR contracts
7 Apr, 2014 Master Circular for Depositories
17 Apr, 2014 Corporate Governance in listed entities - Amendments to Clauses 35B and 49 of the Equity Listing Agreement.
23 Apr, 2014 Revised guidelines for Liquidity Enhancement Scheme in the Equity Cash and Equity Derivatives Segments
28 Apr, 2014 Infrastructure facilities and submission of periodic reports
22 May, 2014 Companies exclusively listed on De-recognized/Non-operational Stock Exchanges.
16 Jun, 2014 Know Your Client (KYC) requirements for Foreign Portfolio Investors (FPIs).
17 Jun, 2014 Base Issue Size, Minimum Subscription, Retention of Over-Subscription Limit and further disclosures in the Prospectus for Public Issue of Debt securities
19 Jun, 2014 Guidelines on disclosures, reporting and clarifications under AIF Regulations
20 Jun, 2014 Participation of FPIs in the Currency Derivatives segment and Position limits for currency derivatives contracts
01 Jul, 2014 Dispatch of physical Statements to BOs having Zero Balance and Nil Transactions
01 Aug, 2014 Monitoring of Compliance by Stock Exchanges
08 Aug, 2014 Expanding the framework of Offer for Sale (OFS) of Shares through stock exchange mechanism
25 Aug, 2014 Formats for disclosure under Regulation 30 of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011(Regulations).
27 Aug, 2014 Core Settlement Guarantee Fund, Default Waterfall and Stress Test
28 Aug, 2014 Information regarding Grievance Redressal Mechanism
11 Sep, 2014 Amendments to SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009 - Increasing the investment bucket for anchor investor and regulations concerning the preferential issue norms
15 Sep, 2014 Corporate Governance in listed entities - Amendments to Clause 49 of the Equity Listing Agreement
29 Sep, 2014 Modification to Investor Protection Fund (IPF) / Customer Protection Fund (CPF) Guidelines
13 Oct, 2014 Single registration for Stock Brokers & Clearing Members.
21 Oct, 2014 Modification of client codes of non-institutional trades executed on stock exchanges (All Segments)
18 Dec, 2014 Redressal of investor grievances through SEBI Complaints Redress System (SCORES) platform
30 Dec, 2014 Single Registration for Depository Participants.
30 Dec, 2014 Registration for the purpose of Foreign Accounts Tax Compliance Act (FATCA)