Securities and Exchange Board of India

823 documents, newest first — showing 601–800.

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2020-08-03Procedural Guidelines for Proxy Advisors
2020-07-29Implementation of SEBI circular on Margin obligations to be given by way of Pledge / Re-pledge in the Depository System
2020-07-24Recording of all types of Encumbrances in Depository system
2020-07-20Framework to Enable Verification of Upfront Collection of Margins from Clients in Cash and Derivatives segments
2020-07-10Master Circular for Commodity Derivatives Market
2020-07-03SEBI (Investment Advisers) (Amendment) Regulations, 2020
2020-07-01Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Third Amendment) Regulations, 2020
2020-06-22Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Second Amendment) Regulations, 2020
2020-06-16Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2020
2020-04-07SEBI (Foreign Portfolio Investors) (Amendment) Regulations, 2020
2020-03-30Relaxation in compliance with requirements pertaining to Portfolio Managers
2020-02-25Margin obligations to be given by way of pledge/re-pledge in the depository system
2020-02-21SEBI (Depositories and Participants) (Amendment) Regulations, 2020
2020-02-05Disclosure Standards for Alternative Investment Funds (AIFs)
2020-02-05SEBI (Issuing Observations On Draft Offer Documents Pending Regulatory Actions) Order, 2020
2020-01-28Clarification on IPF Trust and Committees at Market Infrastructure Institutions
2020-01-22Streamlining the process of Rights Issue
2019-12-27Measures to strengthen the conduct of Investment Advisers (IA)
2019-12-26SEBI (Issue of Capital and Disclosure Requirements) (Sixth Amendment) Regulations, 2019
2019-12-24Framework for Listing of Commercial Paper - Amendments
2019-12-19SEBI (Foreign Portfolio Investors) (Amendment) Regulations, 2019
2019-12-06Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Fifth Amendment) Regulations, 2019
2019-11-29Cut-off Time for Determining Minimum Threshold of Margins to be Collected from Clients
2019-11-28Framework for issue of Depository Receipts
2019-11-19Collection and reporting of margins by Trading Member and Clearing Member in Cash Segment
2019-11-13Continuous disclosures and compliances by listed entities under SEBI (Issue and Listing of Municipal Debt Securities) Regulations, 2015
2019-10-25Master Circular for Depositories
2019-10-25Master Circular for Stock Exchanges and Clearing Corporations
2019-10-22Framework for Listing of Commercial Paper
2019-10-15Guidelines on Anti-Money Laundering (AML) Standards and Combating the Financing of Terrorism (CFT) for Securities Market Intermediaries
2019-10-15Cyber Security & Cyber Resilience framework for Stock Brokers / Depository Participants - Clarifications
2019-10-15Cyber Security & Cyber Resilience framework for Qualified Registrars to an Issue / Share Transfer Agents
2019-09-24Valuation of money market and debt securities
2019-09-23Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Fourth Amendment) Regulations, 2019
2019-09-12Schemes of Arrangement by Listed Entities and Relaxation under Sub‑rule (7) of Rule 19 of the Securities Contracts (Regulation) Rules, 1957
2019-08-19Non-compliance with certain provisions of SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018 (ICDR Regulations)
2019-07-29Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Third Amendment) Regulations, 2019
2019-06-20Credit of Penalty for Short-Collection/Non-Collection of Margins on Commodity Derivatives Segments to Core SGF
2019-06-04Securities and Exchange Board of India (Depositories and Participants) (Amendment) Regulations, 2019
2019-05-28Directions to stock exchanges, depositories and all registered intermediaries on Combating Financing of Terrorism under UAPA
2019-05-27Enhanced disclosure in case of listed debt securities
2019-05-22Framework for the Process of Accreditation of Investors for the Innovators Growth Platform
2019-05-22Participation of Portfolio Managers in Commodity Derivatives Market in India
2019-04-05Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Second Amendment) Regulations, 2019
2019-03-29Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2019
2019-01-11Uniform membership structure across segments
2018-12-31Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2018
2018-11-30Trading hours for commodity derivatives segment
2018-09-11Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) Regulations, 2018
2018-08-16Streamlining public issue process under SEBI debt securities and preference share regulations
2018-07-04Guidelines on Anti-Money Laundering (AML) Standards and Combating the Financing of Terrorism (CFT) for Securities Market Intermediaries
2018-07-03Overseas Investment by Alternative Investment Funds (AIFs) / Venture Capital Funds (VCFs)
2018-05-02Master Circular for Credit Rating Agencies
2018-04-09Master Circular for Debenture Trustees (DTs)
2018-03-26Investor Grievance Redress Mechanism - New Policy Measures
2018-01-03Transaction Charges by Commodity Derivatives Exchanges
2017-12-15Securities and Exchange Board of India (Infrastructure Investment Trusts) (Amendment) Regulations, 2017
2017-12-04Categorization and Rationalization of Mutual Fund Schemes
2017-11-30Enhancing fund governance for Mutual Funds
2017-10-06Categorization and Rationalization of Mutual Fund Schemes
2017-09-21Schemes of Arrangement by Listed Entities and (ii) Relaxation under Sub-rule (7) of Rule 19 of the Securities Contracts (Regulation) Rules, 1957
2017-08-09Online Registration Mechanism for Custodian of Securities
2017-06-30Clarification on monitoring of Interest/Principal repayment and sharing of such information with Credit Rating Agencies by Debenture Trustees
2017-06-19Continuous disclosures and compliances by issuers under SEBI (Issue and Listing of Debt Securities by Municipalities) Regulations, 2015
2017-06-13Comprehensive guidelines for Investor Protection Fund, Investor Service Fund and its related matters
2017-05-26Listing of Non-Convertible Redeemable Preference Shares (NCRPS) / Non-Convertible Debentures (NCDs) through a Scheme of Arrangement
2017-05-16Digital mode of Payment
2017-03-23Circular on Schemes of Arrangement by Listed Entities and Relaxation under Sub‑rule (7) of Rule 19 of the Securities Contracts (Regulation) Rules, 1957 – Clarification
2017-03-15Review of advertisement guidelines for Mutual Funds
2017-03-10Schemes of Arrangement by Listed Entities and Relaxation under Sub‑rule (7) of Rule 19 of the Securities Contracts (Regulation) Rules, 1957
2017-02-23Amendment pursuant to comprehensive review of Investor Grievance Redressal Mechanism
2017-02-14Submission of Monthly Reports by Custodians of Securities
2016-12-16Master Circular for Stock Exchange and Clearing Corporation
2016-12-15Master Circular for Depositories
2016-12-08SEBI (Change In Conditions of Registration Of Certain Intermediaries) (Amendment) Regulations, 2016
2016-11-17Investment trading in securities by employees of AMC(s) and Trustees of Mutual Funds
2016-11-11Clarification on day count convention for debt securities under SEBI Regulations, 2008
2016-10-19Facilitating transaction in Mutual Fund schemes through the Stock Exchange Infrastructure
2016-09-27Prohibition of Portfolio Management Services in Commodity Derivatives Market
2016-09-15Standardization and Simplification of Procedures for Transmission of Securities
2016-08-19Modification of Client Codes post Execution of Trades on National and Regional Commodity Derivatives Exchanges – Clarification
2016-08-10Revised Formats for Financial Results and Implementation of Ind AS by listed entities
2016-03-29Modification of Client Codes post Execution of Trades on National and Regional Commodity Derivatives Exchanges
2016-01-22Amendment to SEBI Circular CIR/MRD/DSA/33/2012 dated December 13, 2012 pursuant to amendment in Regulation 2(1)(b) of SECC Regulations, 2012
2016-01-22Clarification on voluntary adaptation of Aadhaar based e-KYC process
2015-11-30Modification of Circular OIAE/Cir-1/2009 regarding No Objection Certificate for release of 1% issue amount
2015-11-27Format for statements/reports to be submitted to Stock Exchanges by listed entities with listed securitised debt instruments
2015-10-01Guidelines on overseas investments and other issues/clarifications for AIFs/VCFs
2015-09-10Reporting requirement under Foreign Account Tax Compliance Act (FATCA) and Common Reporting Standards (CRS)-Guidance Note
2015-07-20SEBI (Prohibition on Raising Further Capital From Public and Transfer of Securities of Suspended Companies) Order, 2015
2015-06-05Database for Distinctive Number (DN) of Shares
2015-05-26Master Circular for Stock Exchange and Clearing Corporation
2015-05-07Master Circular for Depositories
2015-03-04SARAL Account Opening Form for resident individuals
2014-12-18Redressal of investor grievances through SEBI Complaints Redress System (SCORES) platform
2014-10-21Modification of client codes of non-institutional trades executed on stock exchanges (All Segments)
2014-10-01Master Circular for Mutual Funds
2014-08-28Information regarding Grievance Redressal Mechanism
2014-08-27Core Settlement Guarantee Fund, Default Waterfall and Stress Test
2014-07-18Clarification and extension of deadline with respect to circular on Guidelines on disclosures, reporting and clarifications under AIF Regulations
2014-06-19Guidelines on disclosures, reporting and clarifications under AIF Regulations
2014-06-17Base Issue Size, Minimum Subscription, Retention of Over-Subscription Limit and further disclosures in the Prospectus for Public Issue of Debt securities
2014-05-20Master Circular for Stock Exchanges - 2014
2014-04-07Master Circular for Depositories
2014-03-24Enhancing disclosures, investor education and awareness campaign, developing alternative distribution channels for Mutual Fund products
2014-03-12Anti-Money Laundering/Countering the Financing of Terrorism (AML/CFT) Obligations of Securities Market Intermediaries under the Prevention of Money-laundering Act, 2002 and Rules framed there under
2013-10-29Issues Pertaining to Primary Issuance of Debt Securities - Amendment to Simplified Debt Listing Agreement
2013-10-08Acceptance of e-KYC Service for KYC Verification
2013-10-04Facilitating Transactions in Mutual Fund Schemes through the Stock Exchange Infrastructure
2013-09-26Investor Grievance Redressal Mechanism
2013-09-12KYC Requirements for Eligible Foreign Investors
2013-09-11Master Circular for Mutual Funds
2013-08-07Circular for Application for change in category of the Alternative Investment Fund
2013-07-29Circular for operational, prudential and reporting requirements for Alternative Investment Funds
2013-07-05Arbitration Mechanism in Stock Exchanges - Jurisdiction
2013-04-17Master Circular for Stock Exchange - Cash Market
2013-04-15Master Circular for Depositories
2013-04-01Master Circular on Matters relating to Exchange Traded Derivatives
2013-03-18Arbitration Mechanism through Stock Exchanges - Introduction of Automatic Process and Common Pool of arbitrators
2013-01-24Guidelines on Identification of Beneficial Ownership
2013-01-04Rationalisation process for obtaining PAN by Investors
2012-11-15Participation of mutual funds in Credit Default Swaps (CDS) Market as Users ('Protection Buyers') and in repo, in corporate debt securities
2012-11-07Arbitration Mechanism in Stock Exchanges
2012-10-09SEBI (Framework For Rejection Of Draft Offer Documents) Order, 2012
2012-09-13Steps to Re-energise the Mutual Fund Industry
2012-08-13Aadhaar Letter as Proof of Address for Know Your Client (KYC) norms
2012-07-27System for Making Application to Public Issue of Debt Securities
2012-07-25Contents of Application Form and Abridged Prospectus for Public Issue of Debt Securities
2012-07-16Investment Liquid MF
2012-07-05Review of Regulatory Compliance and Periodic Reporting
2012-05-14Review of Regulatory Compliance and Periodic Reporting
2012-05-11Master Circular for Mutual Funds
2012-04-13Master Circular for Depositories
2012-04-13Master Circular for Stock Exchanges / Cash Market
2012-03-30Broad Guidelines on Algorithmic Trading
2012-03-29Review of Regulatory Compliance and Periodic Reporting
2012-01-20Trade controls in Normal Trading Session for Initial Public Offering (IPO) and other category of scrips
2012-01-02Master Circular on Matters relating to Exchange Traded Derivatives
2011-12-23Guidelines for SEBI Registered Intermediaries and KRAs under KYC Regulations 2011 and In-Person Verification
2011-12-15Guidelines on Outsourcing of Activities by Intermediaries
2011-12-02Circular on Securities and Exchange Board of India (KYC Registration Agency) Regulations, 2011
2011-10-05Uniform Know Your Client (KYC) requirements for the securities market
2011-08-24Processing of Investor Complaints in SEBI Complaints Redress System (SCORES)
2011-08-22Simplification and Rationalization of Trading Account Opening Process
2011-08-02Revised procedure for seeking prior approval for change in control through single window
2011-06-20Periodical Report- Grant of prior approval to Bankers to an Issue
2011-06-17Periodical report - Grant of prior approval to Registrars to an Issue and Share Transfer Agents
2011-01-07Master Circular for Mutual Funds
2010-12-31Master Circular on AML/CFT
2010-12-31Master Circular on Administration of Stock Exchanges, Arbitration in recognised Stock Exchanges and Stock Exchanges / trading platform for Small & Medium Enterprises including guidelines for Market Makers
2010-12-31Master Circular on Exchange Traded Derivatives
2010-12-31Master Circular for Stock Exchange - Cash Market
2010-12-31Master Circular for Depositories
2010-12-14Acceptance of Third Party Address as Correspondence Address
2010-12-06Half yearly report by Trustees
2010-11-26Circular for Mutual Funds
2010-11-02Portfolio Managers - Clarification on minimum investment amount etc
2010-10-22Consolidation or Merger of Schemes
2010-08-27Securities Trading using Wireless Technology
2010-08-27Introduction of Smart Order Routing
2010-07-29Mandatory requirement of Permanent Account Number (PAN)
2010-06-24Certification Programme for Sale and/or Distribution of Mutual Fund Products
2010-06-14Anti Money Laundering/Combating Financing of Terrorism Standards- Additional Requirements/Clarifications
2010-04-06Master Circular on Allotment of codes to Stock Exchanges, Subsidiary management by Stock Exchanges, Governance of recognised Stock Exchanges and Arbitration in recognised Stock Exchanges
2010-04-06Master Circular for Depositories
2010-04-06Master Circular for Stock Exchange - Cash Market
2010-04-01Allotment of Code to United Stock Exchange of India Limited
2010-03-17Master Circular on Oversight of Members (Stock Brokers/Trading Members/Clearing Members of any Segment of Stock Exchanges and Clearing Corporations)
2010-02-12Master Circular on Anti-Money Laundering (AML) and Combating Financing of Terrorism (CFT) Standards
2010-01-01Master Circular for Mutual Funds
2009-12-09Preservation of Records
2009-12-02Limitation period for filing of Arbitration reference
2009-11-25Procedure for Issuance of No Objection Certificate for Release of 1% Issue Amount Deposit
2009-10-23Directions on Combating Financing of Terrorism under Unlawful Activities (Prevention) Act, 1967
2009-09-01Anti Money Laundering/Combating Financing of Terrorism Standards- Additional Requirements/Clarifications
2009-08-11SEBI (Aid for Legal Proceedings) Guidelines, 2009
2009-07-31Portfolio Managers - Amendment to Additional Information for registration / renewal applications
2009-06-23Maintenance of Clients' Funds in a separate Bank Account by Portfolio Managers
2008-12-19Master Circular on Anti Money Laundering and Combating Financing of Terrorism (AML and CFT) Standards
2008-10-21Internal Audit for stock brokers/trading members/clearing members
2008-10-17Allotment of Code to MCX Stock Exchange Ltd
2008-09-25Applications Supported by Blocked Amount (ASBA) facility in Rights Issues
2008-07-30Circular on Applications Supported by Blocked Amount - Merchant Bankers
2008-06-30Clarification on Mandatory Requirement of Permanent Account Number (PAN)
2008-05-06Reporting of information on a periodic basis - Bankers to Issue
2008-05-06Reporting of information on a quarterly basis - Registrars To Issue and Share Transfer Agents
2008-05-06Reporting of information on a half yearly basis- Merchant Bankers
2008-04-03Exemption from mandatory requirement of PAN
2008-03-31Amendment to SEBI's General Order No.1 of 2006
2008-02-28Withdrawal of limits on dematerialized securities transfer slips
2007-09-07Discontinuation of MAPIN Card as Proof of Identity for Beneficial Owner Accounts
2007-06-25PAN as the sole identification number for all transactions in the securities market
2007-04-27Permanent Account Number (PAN) to be the sole identification number for all transactions in the securities market
2007-02-13Safeguards for transfer of securities in dematerialized mode
2006-12-08SEBI (Issuing Observations on Draft Offer Documents Pending Regulatory Actions) Order, 2006
2005-09-02Discontinuation of Hand Delivery Bargains / Delivery Versus Payment (DVP)
2005-09-02Revised Activity Schedule for T+2 Rolling Settlement
2005-08-04Maintenance of books of accounts and other documents sought by Enforcement Agencies from Depositories and DPs
2005-02-09Election to the Governing Board of Stock Exchanges
2005-01-28Review of Dematerialisation Charges