1
| 30-08-2024 | SEBI | Review of eligibility criteria for entry/exit of stocks in derivatives segment | SEBI/HO/MRD/MRD-PoD-2/P/CIR/2024/116 | SEBI |
2
| 29-08-2024 | Inspection & Compliance | Inspection of brokers and common irregularities observed | NSE/INSP/63648 | NSE, BSE, MCX |
3
| 28-08-2024 | Inspection & Compliance | Framework for Supervision of Authorised Persons (APs) & Branches by Members | NSE/COMP/ 63628 | NSE, BSE, MCX |
4
| 28-08-2024 | Depository | "Amendments To DP Operating Instructions Chapter – 2 & 7 " | CDSL/OPS/DP/POLCY/2024/492 | CDSL |
5
| 28-08-2024 | Depository | Four-Day Online Training Program on ‘NSDL Depository Operations’ for Participants. | NSDL/POLICY/2024/004 | NSDL |
6
| 27-08-2024 | Inspection & Compliance | Administrative actions for shortfall in the Networth required for Trading Membership | NSE/INSP/63598 | NSE |
7
| 27-08-2024 | Depository | Compliance report for ‘Framework for Adoption of Cloud Services by SEBI Regulated Entities (REs) | NSDL/POLICY/2024/0117 | NSDL |
8
| 27-08-2024 | Depository | Facility for submission of Incident Report and Root Cause Analysis in electronic form through e-PASS portal. | NSDL/POLICY/2024/0119 | NSDL |
9
| 23-08-2024 | Inspection & Compliance | Enhancement of operational efficiency and Risk Reduction - Pay-out of securities directly to client demat account. | NSE/ISC/63535 | NSE, BSE |
10
| 23-08-2024 | Depository | "Validation Of Reason Codes While Execution Of Off Market Transactions" | CDSL/OPS/DP/SYSTM/2024/479 | CDSL |
11
| 23-08-2024 | Depository | Amendments To DP Operating Instructions Chapter – 6 | CDSL/OPS/DP/POLCY/2024/480 | CDSL |
12
| 22-08-2024 | Depository | Amendments To DP Operating Instructions Chapter – 18 | CDSL/OPS/DP/POLCY/2024/472 | CDSL |
13
| 21-08-2024 | Depository | Same Mobile number and/ or email address captured for multiple accounts | NSDL/POLICY/2024/0115 | NSDL |
14
| 19-08-2024 | Inspection & Compliance | Instructions to Principal Entities under Telecom Commercial Communication Customer Preference Regulations, 2018 - Measures for prevention Unsolicited Commercial Communications (UCC) | NCL/CMPL/63452 | NSE |
15
| 19-08-2024 | Depository | "Registration/ De-registration of Power of Attorney (POA) or Demat Debit and Pledge Instruction (DDPI)." | NSDL/POLICY/2024/0114 | CDSL |
16
| 16-08-2024 | Inspection & Compliance | Entities Permitted by Ministry of Finance to Perform Authentication under the Aadhar Act | NSE/ISC/63436 | NSE, BSE, MCX, CDSL |
17
| 16-08-2024 | Inspection & Compliance | Disciplinary action for non-compliance with minimum networth requirement by SME Market Maker | NSE/COMP/63440 | NSE |
18
| 16-08-2024 | Inspection & Compliance | "Penalty Structure for failure to implement framework for trading members to provide the facility of voluntary freezing/blocking of Trading Accounts" | NSE/INSP/63444 | NSE, BSE |
19
| 14-08-2024 | Inspection & Compliance | System Audit of Professional Clearing Members (PCMs) | NCL/CMPL/63416 | NSE, BSE, MCX |
20
| 14-08-2024 | Inspection & Compliance | Clarification on incentives/referral schemes | NSE/INSP/63425 | NSE |
21
| 14-08-2024 | Inspection & Compliance | Penalty Structure related to provisions of Upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs) and Bank Guarantees (BGs) created out of client’s funds | MCX/MCXCCL/537/2024 | MXC |
22
| 14-08-2024 | Depository | "Suspension of demat accounts of existing clients whose KYC records are not found to be valid by KRAs after the validation process" | NSDL/POLICY/2024/0113 | NSDL |
23
| 13-08-2024 | Inspection & Compliance | Final call for submission of pending documents for claim applications filed against Defaulter/Expelled Trading Members | NSE/ISC/63397 | NSE |
24
| 13-08-2024 | Depository | Standardization of File Formats. | NSDL/POLICY/2024/0112 | NSDL |
25
| 09-08-2024 | SEBI | Master Circular for Stock Brokers | SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2024/110 | SEBI |
26
| 06-08-2024 | Inspection & Compliance | Revision in Contract Note Format – Extension of Timeline | NSE/INSP/63289 | NSE |
27
| 05-08-2024 | Inspection & Compliance | "FATF Public statement on jurisdictions on call for action and increased monitoring - June 2024 Plenary" | NSE/INSP/63264 | NSE, BSE, MCX |
28
| 05-08-2024 | Inspection & Compliance | Guidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011 | NSE/ISC/63250 | NSE, BSE, MCX |
29
| 04-08-2024 | Inspection & Compliance | Guidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011 | NSE/ISC/63231 | NSE, BSE, MCX |
30
| 02-08-2024 | Inspection & Compliance | Revised Margin Trading file format | 20240802-7 | BSE |
31
| 02-08-2024 | Depository | Eligibility For Investment In Sovereign Gold Bonds | CDSL/OPS/CA/GENRL/SGB/2024/432 | CDSL |
32
| 02-08-2024 | Depository | Standardization of File Formats. | NSDL/POLICY/2024/0110 | NSDL |
33
| 01-08-2024 | Depository | Penalty For Not Scanning And Uploading Of DIS | CDSL/A,I&C/DP/POLCY/2024/428 | CDSL |
34
| 31-07-2024 | Inspection & Compliance | Revision in Contract Note Format | 20240731-51 | NSE, BSE |
35
| 30-07-2024 | Inspection & Compliance | Segregation and Monitoring of Collateral at Client Level. | NCL/CMPL/63144 | NSE |
36
| 29-07-2024 | Inspection & Compliance | Quarterly incident reporting for the period ended on June 30, 2024, through BEFS only (BSE Electronic Filling System) | 20240629-2 | BSE |
37
| 28-07-2024 | Inspection & Compliance | Submission of Associate details by Clearing Members | 20240628-57 | BSE |
38
| 24-07-2024 | Depository | New Status And Sub-Status For Demat Accounts | CDSL/OPS/DP/SYSTM/2024/411 | CDSL |
39
| 22-07-2024 | Inspection & Compliance | "Measures to instill trust in securities market - Expanding the framework of Qualified Stock Brokers (QSBs) to more stock brokers" | MCX/MEM/486/2024 | MCX |
40
| 20-07-2024 | Inspection & Compliance | Measures to instill trust in securities market - Expanding the framework of Qualified Stock Brokers (QSBs) to more stock brokers | 20240720-1 | BSE |
41
| 19-07-2024 | Inspection & Compliance | Measures to instill trust in securities market - Expanding the framework of Qualified Stock Brokers (QSBs) to more stock brokers | NSE/INSP/63011 | NSE |
42
| 19-07-2024 | Inspection & Compliance | Facility of voluntary freezing/blocking of Trading Accounts by Clients | MCX/INSP/483/2024 | MCX |
43
| 18-07-2024 | Depository | Additional Criteria For Dormant Demat Accounts | CDSL/OPS/DP/POLCY/2024/400 | CDSL |
44
| 16-07-2024 | SEBI | Cross Margin benefits for offsetting positions having different expiry dates | NCL/CMPT/62978 | SEBI, NSE, BSE |
45
| 11-07-2024 | Inspection & Compliance | Advisory for Enhancement of API Authentication & Security for Trading Member | NSE/INSP/62912 | NSE |
46
| 10-07-2024 | Inspection & Compliance | Facility of voluntary freezing/blocking of Trading Accounts by Clients | 20240710-2 | BSE |
47
| 08-07-2024 | Inspection & Compliance | Financing of Securities / Commodities Transactions | MCX/INSP/449/2024 | MCX |
48
| 05-07-2024 | Inspection & Compliance | Enforcement actions against the Trading Members | NSE/INSP/62813 | NSE |
49
| 05-07-2024 | Inspection & Compliance | Facility of voluntary freezing/blocking of Trading Accounts by Clients | NSE/INSP/62822 | NSE |
50
| 05-07-2024 | Inspection & Compliance | Enhancement of operational efficiency and Risk Reduction - Pay-out of securities directly to client demat account. | 20240705-37 | BSE |
51
| 05-07-2024 | Inspection & Compliance | Enhancement of operational efficiency and Risk Reduction - Pay-out of securities directly to client demat account | NSE/ISC/62810 | NSE |
52
| 04-07-2024 | SEBI | Modification to Enhanced Supervision of Stock Brokers and Depository Participants | "SEBI/HO/MIRSD/MIRSD-PoD1/P/CIR/2024/95 " | SEBI |
53
| 04-07-2024 | SEBI | Measures to instill confidence in securities market - Brokers' institutional mechanism for prevention and detection of fraud or market abuse | SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2024/96 | SEBI |
54
| 04-07-2024 | Inspection & Compliance | Financing of securities transactions – sharing of data by Trading Members | NSE/INSP/62793 | NSE |
55
| 04-07-2024 | Inspection & Compliance | Convenience and Ease of Trading for the Clients | 20240704-40 | BSE |
56
| 02-07-2024 | Inspection & Compliance | Quarterly Cyber Incident Reporting of Cyber Security & Cyber Resilience framework for Stockbrokers | NSE/INSP/62737 | NSE |
57
| 28-06-2024 | Inspection & Compliance | Restriction on use of certain words by Trading Members/Authorized Person in their name | NSE/COMP/62672 | NSE, BSE, MCX |
58
| 28-06-2024 | Inspection & Compliance | Change in timings for Early pay-in and Collateral release | NSE/COMP/62678 | NSE |
59
| 28-06-2024 | Inspection & Compliance | Submission of Associate details by Clearing Members | NCL/CMPL/62689 | NSE |
60
| 27-06-2024 | Inspection & Compliance | Release of Collaterals on Date of Settlement of Running Account of Client’s Funds | MCX/MCXCCL/426/2024 | MCX |
61
| 26-06-2024 | Inspection & Compliance | "Operational guidelines and SOP on Upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs)" | NCL/CMPL/62634 | NSE |
62
| 21-06-2024 | Inspection & Compliance | Policy on Handling of Good Till Cancelled Orders offered by Members to Clients | NSE/INSP/62528 | NSE |
63
| 20-06-2024 | Depository | SURVEILLANCE OBLIGATION OF DP AND AMENDMENT IN QUARTERLY REPORTING FORMAT | CDSL/OPS/DP/SYSTM/2024/341 | CDSL |
64
| 20-06-2024 | Inspection & Compliance | Registration of Lines of Business (LOBs) on FINNET 2.0 | NSE/COMP/62541 | NSE, BSE, MCX |
65
| 20-06-2024 | Depository | Surveillance Obligation Of Depository Participant And Amendment In Quarterly Reporting Format | CDSL/OPS/DP/SYSTM/2024/341 | CDSL |
66
| 19-06-2024 | Inspection & Compliance | Revised Penalty/Action for violation of Exchange guidelines by the Members | MCX/MEM/406/2024 | MCX |
67
| 14-06-2024 | Inspection & Compliance | Guidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011 | NSE/ISC/62456 | NSE, BSE, MCX |
68
| 14-06-2024 | Inspection & Compliance | "Introduction Of Rejection Reason For Pledge And Unpledge Request" | CDSL/OPS/DP/POLCY/2024/326 | CDSL |
69
| 10-06-2024 | Inspection & Compliance | Updation of KMP details | NSE/COMP/62391 | NSE |
70
| 10-06-2024 | SEBI | (a) Ease of Doing Investments- Non-submission of ‘Choice of Nomination’ (i) Doing away with freezing of Demat Accounts and Mutual Fund Folios for existing investors; (ii) To remove freeze on payment of corporate benefits and service of physical folios; (b) Only 3 fields to be provided mandatorily for updating Nomination Details | SEBI/HO/MIRSD/POD-1/P/CIR/2024/81 | SEBI |
71
| 07-06-2024 | Depository | Implementation Of Two Factor Authentication In Easi & Easiest Login | CDSL/OPS/DP/EASI/2024/310 | CDSL |
72
| 07-06-2024 | Depository | Introduction Of Rejection Reason For Pledge And Unpledge Request | CDSL/OPS/DP/P OLCY/2024/314 | CDSL |
73
| 07-06-2024 | Inspection & Compliance | Membership Compliance - Revision/Updates to the New Membership/Ongoing Membership Compliances | NCL/CMPL/62376 | NSE |
74
| 06-06-2024 | SEBI | Uploading of KYC information by KYC Registration Agencies (KRAs) to Central KYC Records Registry (CKYCRR) | SEBI/HO/MIRSD/SECFATF/P/CIR/2024/79 | SEBI |
75
| 01-06-2024 | SEBI | Enhancement of operational efficiency and Risk Reduction - Pay-out of securities directly to client demat account | SEBI/HO/MIRSD/MIRSD-PoD1/P/CIR/2024/75 | SEBI |
76
| 30-05-2024 | SEBI | Ease of Doing Business – Internet Based Trading for Stock Brokers | SEBI/HO/MRD/TPD-1/P/CIR/2024/68 | SEBI |
77
| 30-05-2024 | Inspection & Compliance | Internal Audit of Trading Members - Extension of timeline for submission | NSE/INSP/ 62239 | NSE, BSE, MCX |
78
| 30-05-2024 | Inspection & Compliance | Penalty Structure with respect to Unauthorized Trades | MCX/ISD/359/2024 | MCX |
79
| 29-05-2024 | SEBI | Investor Charter for Depositories and Depository Participants | SEBI/HO/MRD/MRD-PoD-1/P/CIR/2024/66 | SEBI |
80
| 29-05-2024 | Inspection & Compliance | Penalty Structure related to the Ongoing Membership Compliances | NCL/CMPL/62227 | NSE |
81
| 28-05-2024 | Inspection & Compliance | Penalty structure for non-compliance with oversight of Authorised Persons by the trading members. | 20240528-25 | BSE |
82
| 28-05-2024 | Inspection & Compliance | Reminder_Providing facility to view KRA status and guidance to update the KRA requirement on trading | NSE/ISC/57977 | NSE |
83
| 27-05-2024 | Inspection & Compliance | Discontinuation of Reporting of Trading Member-wise details of cash & cash equivalent collateral (referred as Annexure 2) | NCL/CMPL/62167 | NSE |
84
| 24-05-2024 | Inspection & Compliance | Mandatory Insurance Cover for FY 2024-25 | NSE/COMP/62173 | NSE |
85
| 23-05-2024 | Inspection & Compliance | 'Clarification On Handling Of Clients’ Securities By Trading Members (Tm) / Clearing Members (Cm) | CDSL/OPS/DP/SETTL/2024/279 | CDSL |
86
| 22-05-2024 | SEBI | Master Circular for Stock Brokers | SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2024/53 | SEBI |
87
| 22-05-2024 | Inspection & Compliance | Administrative actions for shortfall in the networth of Trading Members | NSE/INSP/62146 | NSE |
88
| 22-05-2024 | Inspection & Compliance | List of authorized mobile applications and social media handles of Trading members | NSE/INSP/62147 | NSE, BSE, MCX |
89
| 21-05-2024 | Depository | Amendments To Dp Operating Instructions Chapter - 4 | CDSL/OPS/DP/POLCY/2024/270 | CDSL |
90
| 16-05-2024 | Inspection & Compliance | Operational guidelines and SOP on Upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs) | NCL/CMPL/62058 | NSE |
91
| 14-05-2024 | SEBI | Review of validation of KYC records by KRAs under Risk Management Framework | SEBI/HO/MIRSD/SECFATF/P/CIR/2024/41 | SEBI |
92
| 13-05-2024 | Inspection & Compliance | Revision in Contract Note Format | NSE/INSP/61999 | NSE, BSE |
93
| 06-05-2024 | Inspection & Compliance | Discontinuation of Reporting requirement of Summary of Settlement of Clients’ Funds | NSE/INSP/61904 | NSE, BSE, MCX |
94
| 06-05-2024 | SEBI | Entities allowed to use e-KYC Aadhaar Authentication services of UIDAI in Securities Market as sub-KUA | SEBI/HO/MIRSD/SECFATF/P/CIR/2024/36 | SEBI |
95
| 30-04-2024 | Inspection & Compliance | Empanelment of Backoffice Vendors | 20240430-62 | BSE, MCX |
96
| 30-04-2024 | Depository | Insurance Policy For Securities | CDSL/L&CS/DP/POLCY/2024/233 | CDSL |
97
| 29-04-2024 | Inspection & Compliance | System Audit of Trading Member | MCX/TECH/269/2024 | MCX |
98
| 29-04-2024 | Inspection & Compliance | Cyber Security & Cyber Resilience Audit of Trading Members | MCX/TECH/268/2024 | MCX |
99
| 25-04-2024 | Inspection & Compliance | Advisory on Impersonation and Unauthorised Market Practices | NCL/INSP/61754 | NSE, BSE, MCX |
100
| 25-04-2024 | Inspection & Compliance | Segregation and Monitoring of Collateral at Client Level- Reporting Format | NCL/CMPL/61744 | NSE, BSE, MCX |
101
| 22-04-2024 | Inspection & Compliance | Guidelines For Online Closure Of Demat Accounts | CDSL/OPS/DP/POLCY/2024/210 | CDSL |
102
| 18-04-2024 | Depository | Dp Operating Instructions As Of March – 2024 Chapters & Annexures | CDSL/OPS/DP/POLCY/2024/208 | CDSL |
103
| 12-04-2024 | Inspection & Compliance | Submission of Internal Audit Report for half year ended March 31, 2024 | NSE/INSP/ 61585 | NSE, BSE, MCX |
104
| 12-04-2024 | Inspection & Compliance | Risk Based Supervision (RBS) - Submission of information for the period April 01, 2023 - March 31, 2024 (Financial Year ended March - 2024) | NSE/INSP/61572 | NSE, BSE, MCX |
105
| 10-04-2024 | Inspection & Compliance | Guidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011 | 20240410-50 | BSE, NSE |
106
| 08-04-2024 | Inspection & Compliance | Introduction of Voluntary disablement process on ENIT – New Compliance | NSE/COMP/61506 | NSE, BSE, MCX |
107
| 08-04-2024 | Inspection & Compliance | Framework for Trading Members to provide the facility of voluntary freezing/blocking the online access of the trading account to their clients | NSE/INSP/61529 | NSE, BSE, MCX |
108
| 06-04-2024 | Inspection & Compliance | Handling of Clients' Securities by Trading Members (TM) / Clearing Members (CM) | NSE/INSP/61507 | NSE |
109
| 06-04-2024 | Inspection & Compliance | Operational Guidelines and SOP for Monitoring of client funds under Enhanced Supervision | NSE/INSP/61508 | NSE, BSE |
110
| 05-04-2024 | SEBI | Entities allowed to use e-KYC Aadhaar Authentication services of UIDAI in Securities Market as sub-KUA | SEBI/HO/MIRSD/SECFATF/P/CIR/2024/21 | SEBI |
111
| 05-04-2024 | NSE - KRA | Changes with respect to online pan verification with income tax department | NSE/KRA/2024/08 | NSE |
112
| 03-04-2024 | Inspection & Compliance | Submission of Half Yearly Networth Certificate as on March 31, 2024 | NSE/COMP/61433 | NSE, BSE, MCX |
113
| 03-04-2024 | Inspection & Compliance | Quarterly Cyber Incident Reporting of Cyber Security and Cyber Resilience Framework for Stockbrokers | NSE/INSP/61453 | NSE |
114
| 01-04-2024 | Inspection & Compliance | Reporting of Artificial Intelligence (AI) and Machine Learning (ML) applications and systems offered and used by market intermediaries | NSE/COMP/61401 | NSE, MCX |
115
| 01-04-2024 | Inspection & Compliance | Information sharing on Cyber Security Incident | MCX/TECH/194/2024 | MCX |
116
| 01-04-2024 | SEBI | SCORES 2.0 New Technology to strengthen SEBI Complaint Redressal System for Investors | PR No.: 6/2024 | SEBI |
117
| 28-03-2024 | Inspection & Compliance | Restriction on use of certain words by Trading Members/Authorized Persons in their name | NSE/COMP/61367 | NSE |
118
| 28-03-2024 | Inspection & Compliance | Empanelment of Back office vendors | NSE/COMP/61375 | NSE |
119
| 28-03-2024 | Inspection & Compliance | Reporting for Artificial Intelligence (AI) and Machine Learning (ML) applications and systems offered and used by market intermediaries | 20240328-23 | BSE |
120
| 27-03-2024 | Inspection & Compliance | Online Reporting of Technical Glitch Incidents | NSE/COMP/61323 | NSE |
121
| 27-03-2024 | Inspection & Compliance | Submission of Half Yearly Net worth Certificate as on March 31, 2024 | NSE/COMP/61335 | NSE |
122
| 27-03-2024 | Depository | Implementation Of Two Factor Authentication For Accessing Audit web Portal | CDSL/AUDIT/DP/POLCY/2024/171 | CDSL |
123
| 26-03-2024 | Inspection & Compliance | Membership Compliance – Revision/Updates to the Ongoing Membership Compliances | NCL/CMPL/61314 | NSE |
124
| 22-03-2024 | Inspection & Compliance | Submission of Half Yearly Internal Audit Report by Clearing Members | NCL/CMPL/61288 | NSE, BSE |
125
| 21-03-2024 | SEBI | Introduction of Beta version of T+0 rolling settlement cycle on optional basis in addition to the existing T+1 settlement cycle in Equity Cash Markets | SEBI/HO/MRD/MRD-PoD-3/P/CIR/2024/20 | SEBI |
126
| 21-03-2024 | Inspection & Compliance | Submission of VAPT Compliance Report for the FY 2023-24 | NSE/INSP/61250 | NSE |
127
| 21-03-2024 | Inspection & Compliance | "FATF Public statement on jurisdictions on call for action and increased monitoring – Feb 2024 Plenary" | NSE/INSP/ 61267 | NSE, BSE, MCX, CDSL |
128
| 20-03-2024 | SEBI | Safeguards to address the concerns of the investors on transfer of securities in dematerialized mode | SEBI/HO/MRD/MRD-PoD-2/P/CIR/2024/18 | SEBI |
129
| 19-03-2024 | Inspection & Compliance | Segregation and Monitoring of Collateral at Client Level- Reporting Format | NCL/CMPL/61186 | NSE |
130
| 18-03-2024 | Inspection & Compliance | Segregation and Monitoring of Collateral at Client Level- Reporting Format | NCL/CMPL/61186 | NSE, BSE, MCX |
131
| 15-03-2024 | Inspection & Compliance | Annual Calendar and Operational Guidelines for Settlement of Running Account of clients' funds lying with the Trading Members | NSE/INSP/61164 | NSE |
132
| 13-03-2024 | Inspection & Compliance | Discontinuation of Reporting of Client Level Cash and Cash Equivalent Balances | NSE/INSP/61121 | NSE, BSE |
133
| 13-03-2024 | Inspection & Compliance | Change in PAN Verification Mechanism | MCX/S&I/142/2024 | MCX |
134
| 11-03-2024 | SEBI | Measures to instill trust in securities market – Expanding the framework of Qualified Stock Brokers (QSBs) to more stock brokers | SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2024/14 | SEBI, NSE, BSE, MCX |
135
| 04-03-2024 | Inspection & Compliance | Framework for Empanelment of Auditors for conducting Internal Audit of Trading Members | NSE/INSP/60986 | NSE, BSE, MCX |
136
| 26-02-2024 | Inspection & Compliance | Annual Maintenance Charges towards Authorised Persons | NSE/COMP/60859 | NSE |
137
| 23-02-2024 | Inspection & Compliance | Operation of Trading Terminals | NSE/COMP/60832 | NSE |
138
| 20-02-2024 | SEBI | Centralization of certifications under Foreign Account Tax Compliance Act (FATCA) and Common Reporting Standard (CRS) at KYC Registration Agencies (KRAs) | SEBI/HO/MIRSD/SECFATF/P/CIR/2024/12 | SEBI |
139
| 15-02-2024 | Inspection & Compliance | Aadhaar seeding with PAN - Non Resident Indian (NRI) Clients | NSE/ISC/60731 | NSE |
140
| 15-02-2024 | Depository | Reporting Of Cyber Incidents | CDSL/A,I&C/DP/POLCY/2024/96 | CDSL |
141
| 13-02-2024 | SEBI | SEBI cautions public against dealing with unregistered entities | PR No.02/2024 | SEBI |
142
| 12-02-2024 | Inspection & Compliance | Introduction of Digital representation of Penalty Review Requests | NCL/CMPL/60651 | NSE |
143
| 07-02-2024 | Inspection & Compliance | Guidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011 | NSE/ISC/60600 | NSE |
144
| 05-02-2024 | Inspection & Compliance | Facility for viewing of penalties at NCL | NCL/CMPL/60552 | NSE |
145
| 29-01-2024 | Depository | New Status And Sub-Status For Demat Accounts | CDSL/OPS/DP/SYSTM/2024/64 | CDSL |
146
| 20-01-2024 | Inspection & Compliance | Operational guidelines and SOP on Upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs) | NSE/INSP/60369 | NSE |
147
| 19-01-2024 | Inspection & Compliance | Performance/return claimed by unregulated platforms offering algorithmic strategies for trading | NSE/COMP/60341 | NSE |
148
| 19-01-2024 | Inspection & Compliance | Upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs) | 20240119-30 | BSE |
149
| 17-01-2024 | Inspection & Compliance | Online Registration of Trading Members | NSE/COMP/60295 | NSE |
150
| 16-01-2024 | Inspection & Compliance | Cautionary Messages on Trading Terminal - Update | NSE/SURV/60281 | NSE |
151
| 16-01-2024 | Inspection & Compliance | Discontinuation of Submission of data towards Monitoring of client funds under Enhanced Supervision | NSE/INSP/60283 | NSE |
152
| 12-01-2024 | SEBI | Ease of Doing Investments by Investors- Facility of voluntary freezing/ blocking of Trading Accounts by Clients | SEBI/HO/MIRSD/POD-1/P/CIR/2024/4 | SEBI |
153
| 12-01-2024 | SEBI | Ease of doing business- Changes in reporting | SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2024/03 | SEBI |
154
| 05-01-2024 | Inspection & Compliance | Most Important Terms and Conditions (MITC) | NSE/INSP/60147 | NSE |
155
| 05-01-2024 | SEBI | Framework for Short Selling | SEBI/HO/MRD/MRD-PoD-3/P/CIR/2024/1 | SEBI |
156
| 04-01-2024 | Inspection & Compliance | Centralized Mechanism for reporting the demise of an investor through KRAs - SOP | NSE/ISC/60115 | NSE |
157
| 01-01-2024 | Inspection & Compliance | Segregation and Monitoring of Collateral at Client Level (Additional Reason codes for UPI Clients) | 20240101-13 | BSE |
158
| 29-12-2023 | Inspection & Compliance | Release of Collaterals on Date of Settlement of Running Account of Client’s Funds | MCX/MCXCCL/945/2023 | MCX |
159
| 26-12-2023 | Inspection & Compliance | Framework to address the 'technical glitches' in Member's Electronic Trading Systems | NSE/COMP/54876 | NSE |
160
| 23-12-2023 | Inspection & Compliance | Uniform penalty structure for Clearing Members | NCL/CMPL/59930 | NSE |
161
| 18-12-2023 | Inspection & Compliance | Administrative actions for terminal(s) not found at the reported location(s) | NSE/INSP/59809 | NSE |
162
| 23-10-2023 | Inspection & Compliance | Guidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011 | NSE/ISC/59051 | NSE |
163
| 02-09-2023 | Inspection & Compliance | Guidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011 | NSE/ISC/58200 | NSE |
164
| 29-08-2023 | Inspection & Compliance | FAQ on Upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs) | NSE/INSP/58146 | NSE |
165
| 29-08-2023 | Inspection & Compliance | FAQ on Upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs) | 20230829-72 | BSE |
166
| 24-08-2023 | Inspection & Compliance | Nomination for Eligible Trading and Demat Accounts | NSE/ISC/58079 | NSE |
167
| 24-08-2023 | Inspection & Compliance | Nomination for Eligible Trading and Demat Accounts | 20230824-61 | BSE |
168
| 19-08-2023 | Inspection & Compliance | Validation of Email ID/Mobile number in KYC | 20230819-6 | BSE |
169
| 18-08-2023 | Inspection & Compliance | Guidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011 | NSE/ISC/58027 | NSE |
170
| 18-08-2023 | Inspection & Compliance | Guidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011 | 20230818-44 | BSE |
171
| 12-08-2023 | Inspection & Compliance | FAQ on Upstreaming of clients’ funds by Stockbrokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs) | 20230812-1 | BSE |
172
| 11-08-2023 | Inspection & Compliance | FAQ on Upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs) | NSE/INSP/57959 | NSE |
173
| 04-08-2023 | SEBI | Corrigendum cum Amendment to Circular dated July 31, 2023 on Online Resolution of Disputes in the Indian Securities Market | SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/135 | SEBI |
174
| 31-07-2023 | SEBI | Online Resolution of Disputes in the Indian Securities Market | SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/131 | SEBI |
175
| 23-06-2023 | Compliance | Mapping of Unique Client Code (UCC) with demat account of the clients | 20230623-58 | BSE |
176
| 23-06-2023 | Inspection & Compliance | Reporting of Bank Account & Demat Account | NSE/INSP/57266 | NSE |
177
| 23-06-2023 | SEBI | Trading supported by Blocked Amount in Secondary Market | SEBI/HO/MRD/MRD-PoD-2/P/CIR/2023/99 | SEBI |
178
| 21-06-2023 | SEBI | Trading Preferences by Clients | SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/95 | SEBI |
179
| 19-06-2023 | Settlement/RMS | Additional Exposure Margin on Securities under MWPL | 20230619-10 | BSE |
180
| 14-06-2023 | Inspection & Compliance | Guidelines/clarifications on Margin collection & reporting | NSE/INSP/57112 | NSE |
181
| 14-06-2023 | Inspection & Compliance | Risk disclosure with respect to trading by individual traders in Equity Futures & Options Segment. | NSE/INSP/57111 | NSE |
182
| 12-06-2023 | NSE Clearing - Capital Market | Discontinuation of acceptance of securities as collateral through approved custodians | NCL/CMPT/57048 | NSE |
183
| 08-06-2023 | SEBI | Upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs) | SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/84 | SEBI |
184
| 02-06-2023 | Inspection & Compliance | Market Access through Authorised Persons | NSE/COMP/56947 | NSE |
185
| 31-05-2023 | Inspection & Compliance | Corrigendum - FAQ for Reporting of Bank Guarantees (BGs) created out of clients' funds | NCL/CMPL/56900 | NSE |
186
| 30-05-2023 | Settlement/RMS | Segregation and Monitoring of Collateral at Client Level- Reporting | 20230530-47 | BSE |
187
| 22-05-2023 | NSE Clearing - Capital Market | Clarification on Collateral reporting against Short Allocation of Collaterals | NCL/CMPT/56785 | NSE |
188
| 22-05-2023 | Member Service Department | Operation of Trading Terminals | NSE/MSD/56778 | NSE |
189
| 22-05-2023 | Inspection & Compliance | Penalty Provisions for trading terminals without having valid certification | NSE/INSP/56784 | NSE |
190
| 19-05-2023 | Inspection & Compliance | Reporting of Bank Guarantees (BGs) created out of clients' funds | NCL/CMPL/56762 | NSE |
191
| 19-05-2023 | SEBI | Risk disclosure with respect to trading by individual traders in Equity Futures & Options Segment | SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/73 | SEBI |
192
| 18-05-2023 | Surveillance & Investigation | Modification of Client Codes (All Segments) - Delivery versus Payment (DVP) Reporting | NSE/INVG/56755 | NSE |
193
| 16-05-2023 | Legal, ISC & Arbitration | Nomination for Eligible Trading and Demat Accounts | NSE/ISC/56728 | NSE |
194
| 05-05-2023 | Inspection & Compliance | Daily reporting of Short-collection/Non-collection of client margin | NCL/CMPL/56624 | NSE |
195
| 27-04-2023 | Settlement/RMS | Segregation and Monitoring of Collateral at Client Level - Penalty mechanism for Short Allocation | 20230427-28 | BSE |
196
| 26-04-2023 | Inspection & Compliance | Guidelines/clarification on Margin collection & reporting | NSE/INSP/56512 | NSE |
197
| 26-04-2023 | Legal, ISC & Arbitration | Framework for automated deactivation of trading and demat accounts in cases of inadequate KYCs | NSE/ISC/56507 | NSE |
198
| 25-04-2023 | Inspection & Compliance | Bank Guarantees (BGs) created out of clients’ funds | NSE/INSP/56489 | NSE |
199
| 21-04-2023 | Legal, ISC & Arbitration | Guidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011 | NSE/ISC/56457 | NSE |
200
| 17-04-2023 | Surveillance & Investigation | Modification of Client Codes (All Segments) - Update | NSE/INVG/56395 | NSE |
201
| 28-03-2023 | Legal, ISC & Arbitration | Aadhar seeding with PAN | NSE/ISC/56173 | NSE |
202
| 28-03-2023 | Legal, ISC & Arbitration | Nomination for Eligible Trading and Demat Accounts - Extension of timelines for existing account holders | NSE/ISC/56153 | NSE |
203
| 27-03-2023 | Compliance | Settlement of Running Account of Client’s Funds lying with Trading Member - TM | 20230327-70 | BSE |
204
| 24-03-2023 | Inspection & Compliance | TRAI - Guidelines to curb spam SMSes and misuse of Headers and Content Templates by unauthorized Telemarketers (UTMs) | NSE/COMP/56114 | NSE |
205
| 17-03-2023 | Inspection & Compliance | Restriction on use of certain words by Trading Members/Authorized Person in their Person | NSE/COMP/56041 | NSE |
206
| 22-02-2023 | Inspection & Compliance | Restriction on use of certain words by Trading Member/Authorized Person in their name | NSE/COMP/55716 | NSE |
207
| 20-02-2023 | Futures & Options | Penalty for intraday short allocation of collaterals | NCL/CMPT/55689 | NSE |
208
| 15-02-2023 | SEBI | Maintenance of a website by stock brokers and depository participants | SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/30 | SEBI |
209
| 06-02-2023 | Post Trade | API based facility for Collateral and Margin details | 20230206-53 | BSE |
210
| 02-02-2023 | Legal, ISC & Arbitration | Nomination for Eligible Trading and Demat Accounts | NSE/ISC/55473 | NSE |
211
| 02-02-2023 | Inspection & Compliance | Revised Code of Advertisement for Stock Brokers | NSE/COMP/55482 | NSE |
212
| 01-02-2023 | SEBI | Changes to the Framework to Enable Verification of Upfront Collection of Margins from Clients in Cash and Derivatives Segments | SEBI/HO/MRD/MRD-PoD-2/P/CIR/2023/016 | SEBI |
213
| 27-01-2023 | Membership and Compliance | Clarification on Margin collection & reporting | MCX/INSP/303/2022 | MCX |
214
| 27-01-2023 | Post Trade | T+1 Settlement Number and Funds settlement in equity cash segment | 20230127-9 | BSE |
215
| 27-01-2023 | Futures & Options | Pre-Trade risk controls - Limit Price Protection - Update | NSE/FAOP/55396 | NSE |
216
| 27-01-2023 | NSE Clearing - Capital Market | Maintaining Capital Cushion | NCL/CMPT/55394 | NSE |
217
| 27-01-2023 | Inspection & Compliance | Display of Details of Client Bank Accounts on Website | NSE/INSP/55402 | NSE |
218
| 27-01-2023 | Finance & Accounts | Excess STT retained | NSE/FATAX/55386 | NSE |
219
| 27-01-2023 | Inspection & Compliance | Early Pay-in of funds | NSE/INSP/55401 | NSE |
220
| 25-01-2023 | NSE Clearing - Capital Market | Short Allocation of Collaterals | NCL/CMPT/55381 | NSE |
221
| 25-01-2023 | Surveillance & Investigation | Client due diligence | NSE/INVG/55347 | NSE |
222
| 25-01-2023 | Inspection & Compliance | Application Programming Interface (API) for daily submission of Holding Statement and Bank Balances | NSE/INSP/55380 | NSE |
223
| 20-01-2023 | Post Trade | Segregation and Monitoring of Collateral at Client Level- Update | 20230120-19 | BSE |
224
| 20-01-2023 | Futures & Options | Guidelines for Net Settlement of Capital Market Segment and Futures and Options (F&O) Segment upon expiry of stock derivatives | NCL/CMPT/55330 | NSE |
225
| 05-01-2023 | Inspection & Compliance | Reporting requirement on Settlement of Running Account of Clients’ Funds lying with Trading Member | NSE/INSP/55135 | NSE |
226
| 05-01-2023 | Inspection & Compliance | Encouraging more retail investors to participate in voting on motions moved by Listed Companies | NSE/COMP/55151 | NSE |
227
| 28-12-2022 | Inspection & Compliance | Application Programming Interface (API) for daily submissions of Holding Statement and Bank Balances | NSE/INSP/55039 | NSE |
228
| 28-12-2022 | Inspection & Compliance | Reporting requirement on Settlement of Running Account of Clients’ Funds lying with Trading Member ™ | NSE/INSP/55024 | NSE |
229
| 26-12-2022 | Inspection & Compliance | Market Data Broadcasts Advisory and Member Guide | NSE/COMP/54765 | NSE |
230
| 07-12-2022 | Inspection & Compliance | Display of Brokerage, Statutory & Regulatory Levies | NSE/INSP/54746 | NSE |
231
| 02-12-2022 | Inspection & Compliance | Empanelment of Backoffice vendors | NSE/COMP/54706 | NSE |
232
| 25-11-2022 | Inspection & Compliance | Guidelines on Compliance Officers | NSE/COMP/54600 | NSE |
233
| 25-11-2022 | Inspection & Compliance | Extension of timelines for implementation of SEBI circulars | NSE/INSP/54618 | NSE |
234
| 11-11-2022 | Inspection & Compliance | Handling of Clients’ Securities by Trading Members(TM) / Clearing Members (CM) | NSE/INSP/54390 | NSE |
235
| 04-11-2022 | Membership Compliance | Guidelines to determine celebrity status for the purpose of issuing advertisements | 20221104-34 | BSE |
236
| 25-10-2022 | Surveillance & Investigation | Caution towards dealing with Unsolicited Messages/Videos/any other reference | NSE/INVG/54196 | NSE |
237
| 28-09-2022 | Inspection & Compliance | Segregation and Monitoring of Collateral at Client Level- Penalty | NCL/CMPL/53867 | NSE |
238
| 23-09-2022 | Inspection & Compliance | FAQ on Settlement of Running Account of Client’s Funds lying with Trading Member ™ | NSE/INSP/53820 | NSE |
239
| 22-09-2022 | Inspection & Compliance | Clarification to the Rule 8(1)(f) and 8(3)(f) of Securities Contracts (Regulation) Rules, 1957 | NSE/COMP/53802 | NSE |
240
| 19-09-2022 | NSE Clearing - Capital Market | Validation of Instructions for Pay-In of Securities from Client demat account to Trading Member (TM) Pool Account against obligations received from the Clearing Corporations | NCL/CMPT/53746 | NSE |
241
| 07-09-2022 | Inspection & Compliance | Performance/return claimed by unregulated platforms offering algorithmic strategies for trading | NSE/COMP/53555 | NSE |
242
| 06-09-2022 | MCXCCL | Alternate Risk Management Framework Applicable in case of Near Zero and Negative Prices | MCX/MCXCCL/516/2022 | MCX |
243
| 02-09-2022 | Inspection & Compliance | Enforcement actions against the Trading Members | NSE/INSP/53530 | NSE |
244
| 30-08-2022 | Legal, ISC & Arbitration | Framework for automated deactivation of trading and demat accounts in cases of inadequate KYCs | NSE/ISC/53482 | NSE |
245
| 22-08-2022 | NSE Clearing - Capital Market | SEBI circular on Block Mechanism in demat account of clients undertaking sale transactions | NCL/CMPT/53386 | NSE |
246
| 19-08-2022 | Post Trade | Segregation and Monitoring of Collateral at Client Level - Penalty mechanism for EOD Short Allocation | 20220819-5 | BSE |
247
| 12-08-2022 | Inspection & Compliance | Clarification on the Brokerage, Statutory & Regulatory Levies | NSE/INSP/53297 | NSE |
248
| 08-08-2022 | Legal, ISC & Arbitration | Adherence to KYC requirements | NSE/ISC/53233 | NSE |
249
| 01-08-2022 | Inspection & Compliance | Unique Device Identifier for orders placed through Internet Based Trading (IBT) and Securities trading using Wireless Technology (STWT) | NSE/COMP/53164 | NSE |
250
| 15-07-2022 | Futures & Options | Report for EOD short allocation of collateral | NCL/CMPT/52987 | NSE |
251
| 06-07-2022 | Inspection & Compliance | Precautions for clients dealing in Options | NSE/INSP/52900 | NSE |
252
| 04-07-2022 | Currency Derivatives | UCC and PAN verification | NSE/CD/52850 | NSE |
253
| 24-06-2022 | Legal, ISC & Arbitration | Investor Grievance Redressal Mechanism | NSE/ISC/52728 | NSE |
254
| 23-06-2022 | Inspection & Compliance | Guidelines/clarifications on Margin collection & reporting | NSE/INSP/52711 | NSE |
255
| 14-06-2022 | Inspection & Compliance | Implementation of Two Factor Authentication | NSE/COMP/52623 | NSE |
256
| 07-06-2022 | Inspection & Compliance | Issuance of Electronic Contract Notes (ECN) through SMS/electronic instant messaging services | NSE/INSP/52604 | NSE |
257
| 24-05-2022 | Membership and Compliance | Clarification on Margin collection & reporting | MCX/INSP/303/2022 | MCX |
258
| 31-03-2022 | Inspection & Compliance | Settlement of Running Account of Client's Funds lying with Trading Member (TM) | NSE/INSP/51830 | NSE |
259
| 25-03-2022 | Inspection & Compliance | Revision in Contract Note Format | NSE/INSP/51772 | NSE |
260
| 25-03-2022 | Inspection & Compliance | Unauthorised Market Practices by Trading Members | NSE/INSP/51770 | NSE |
261
| 24-02-2022 | Inspection & Compliance | Nomination for Eligible Trading and Demat Accounts - Extension of timelines and relaxations for existing account holders | NSE/INSP/51438 | NSE |
262
| 24-02-2022 | Inspection & Compliance | Segregation and Monitoring of Collateral at Client Level - Extension of timeline | NSE/INSP/51437 | NSE |
263
| 08-02-2022 | Inspection & Compliance | Clarification with respect to SEBI Circular No. SEBI/HO/MIRSD/DOP/CIR/P/2020/73 dated April 24, 2020 regarding Clarification on Know Your Client (KYC) Process and Use of Technology for KYC | NSE/INSP/51278 | NSE |
264
| 13-12-2021 | Inspection & Compliance | Approved user/ Persons | NSE/COMP/50576 | NSE |
265
| 21-10-2021 | Inspection & Compliance | Market Access through Authorised Persons | NSE/COMP/50030 | NSE |
266
| 12-10-2021 | Inspection & Compliance | Guidelines/clarification on Margin collection and reporting | NSE/INSP/49929 | NSE |
267
| 27-09-2021 | Inspection & Compliance | Treatment of Inactive Trading Account | NSE/INSP/49743 | NSE |
268
| 03-09-2021 | Inspection & Compliance | Reporting of clients mapped to Authorised Persons (AP) | NSE/COMP/49509 | NSE |
269
| 31-08-2021 | Inspection & Compliance | FAQ on Settlement of Running Account of Client's Funds lying with Trading Member (TM) | NSE/INSP/49458 | NSE |
270
| 17-08-2021 | Inspection & Compliance | Online Closure of Trading Accounts | NSE/INSP/49323 | NSE |
271
| 26-07-2021 | Inspection & Compliance | Online Closure of Trading Accounts | NSE/INSP/49055 | NSE |
272
| 20-07-2021 | Inspection & Compliance | Segregation and Monitoring of Collateral at Client Level | NSE/INSP/49008 | NSE |
273
| 16-06-2021 | Inspection & Compliance | Settlement of Running Account of Client's Funds lying with Trading Member (TM) | NSE/INSP/48624 | NSE |
274
| 09-06-2021 | Inspection & Compliance | Market Access through Authorised Persons | NSE/COMP/48536 | NSE |
275
| 09-06-2021 | Inspection & Compliance | FAQs on Margin Trading Facility (MTF) | NSE/COMP/48531 | NSE |