Stock Broking companies in India, Share Brokers in India | Online Broking Firms Mumbai | Prabhudas Lilladher
S.NoDateDepartmentSubjectDownload Ref. No.Exchange
1 30-08-2024SEBIReview of eligibility criteria for entry/exit of stocks in derivatives segmentSEBI/HO/MRD/MRD-PoD-2/P/CIR/2024/116SEBI
2 29-08-2024Inspection & ComplianceInspection of brokers and common irregularities observedNSE/INSP/63648NSE, BSE, MCX
3 28-08-2024Inspection & ComplianceFramework for Supervision of Authorised Persons (APs) & Branches by MembersNSE/COMP/ 63628NSE, BSE, MCX
4 28-08-2024Depository"Amendments To DP Operating Instructions Chapter – 2 & 7 "CDSL/OPS/DP/POLCY/2024/492CDSL
5 28-08-2024DepositoryFour-Day Online Training Program on ‘NSDL Depository Operations’ for Participants. NSDL/POLICY/2024/004NSDL
6 27-08-2024Inspection & ComplianceAdministrative actions for shortfall in the Networth required for Trading MembershipNSE/INSP/63598NSE
7 27-08-2024DepositoryCompliance report for ‘Framework for Adoption of Cloud Services by SEBI Regulated Entities (REs)NSDL/POLICY/2024/0117NSDL
8 27-08-2024DepositoryFacility for submission of Incident Report and Root Cause Analysis in electronic form through e-PASS portal.NSDL/POLICY/2024/0119NSDL
9 23-08-2024Inspection & ComplianceEnhancement of operational efficiency and Risk Reduction - Pay-out of securities directly to client demat account.NSE/ISC/63535NSE, BSE
10 23-08-2024Depository"Validation Of Reason Codes While Execution Of Off Market Transactions"CDSL/OPS/DP/SYSTM/2024/479CDSL
11 23-08-2024DepositoryAmendments To DP Operating Instructions Chapter – 6CDSL/OPS/DP/POLCY/2024/480CDSL
12 22-08-2024DepositoryAmendments To DP Operating Instructions Chapter – 18CDSL/OPS/DP/POLCY/2024/472CDSL
13 21-08-2024DepositorySame Mobile number and/ or email address captured for multiple accountsNSDL/POLICY/2024/0115NSDL
14 19-08-2024Inspection & ComplianceInstructions to Principal Entities under Telecom Commercial Communication Customer Preference Regulations, 2018 - Measures for prevention Unsolicited Commercial Communications (UCC)NCL/CMPL/63452NSE
15 19-08-2024Depository"Registration/ De-registration of Power of Attorney (POA) or Demat Debit and Pledge Instruction (DDPI)."NSDL/POLICY/2024/0114 CDSL
16 16-08-2024Inspection & Compliance Entities Permitted by Ministry of Finance to Perform Authentication under the Aadhar ActNSE/ISC/63436NSE, BSE, MCX, CDSL
17 16-08-2024Inspection & ComplianceDisciplinary action for non-compliance with minimum networth requirement by SME Market MakerNSE/COMP/63440NSE
18 16-08-2024Inspection & 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 14-08-2024Inspection & ComplianceSystem Audit of Professional Clearing Members (PCMs)NCL/CMPL/63416NSE, BSE, MCX
20 14-08-2024Inspection & ComplianceClarification on incentives/referral schemesNSE/INSP/63425NSE
21 14-08-2024Inspection & CompliancePenalty 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 fundsMCX/MCXCCL/537/2024MXC
22 14-08-2024Depository"Suspension of demat accounts of existing clients whose KYC records are not found to be valid by KRAs after the validation process"NSDL/POLICY/2024/0113NSDL
23 13-08-2024Inspection & ComplianceFinal call for submission of pending documents for claim applications filed against Defaulter/Expelled Trading MembersNSE/ISC/63397NSE
24 13-08-2024DepositoryStandardization of File Formats.NSDL/POLICY/2024/0112 NSDL
25 09-08-2024SEBIMaster Circular for Stock BrokersSEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2024/110SEBI
26 06-08-2024Inspection & ComplianceRevision in Contract Note Format – Extension of TimelineNSE/INSP/63289NSE
27 05-08-2024Inspection & Compliance "FATF Public statement on jurisdictions on call for action and increased monitoring - June 2024 Plenary"NSE/INSP/63264NSE, BSE, MCX
28 05-08-2024Inspection & ComplianceGuidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011NSE/ISC/63250NSE, BSE, MCX
29 04-08-2024Inspection & ComplianceGuidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011NSE/ISC/63231NSE, BSE, MCX
30 02-08-2024Inspection & ComplianceRevised Margin Trading file format20240802-7BSE
31 02-08-2024DepositoryEligibility For Investment In Sovereign Gold BondsCDSL/OPS/CA/GENRL/SGB/2024/432CDSL
32 02-08-2024DepositoryStandardization of File Formats.NSDL/POLICY/2024/0110NSDL
33 01-08-2024DepositoryPenalty For Not Scanning And Uploading Of DISCDSL/A,I&C/DP/POLCY/2024/428CDSL
34 31-07-2024Inspection & ComplianceRevision in Contract Note Format20240731-51NSE, BSE
35 30-07-2024Inspection & ComplianceSegregation and Monitoring of Collateral at Client Level.NCL/CMPL/63144NSE
36 29-07-2024Inspection & ComplianceQuarterly incident reporting for the period ended on June 30, 2024, through BEFS only (BSE Electronic Filling System)20240629-2BSE
37 28-07-2024Inspection & ComplianceSubmission of Associate details by Clearing Members20240628-57BSE
38 24-07-2024DepositoryNew Status And Sub-Status For Demat AccountsCDSL/OPS/DP/SYSTM/2024/411CDSL
39 22-07-2024Inspection & 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 20-07-2024Inspection & ComplianceMeasures to instill trust in securities market - Expanding the framework of Qualified Stock Brokers (QSBs) to more stock brokers20240720-1BSE
41 19-07-2024Inspection & ComplianceMeasures to instill trust in securities market - Expanding the framework of Qualified Stock Brokers (QSBs) to more stock brokersNSE/INSP/63011NSE
42 19-07-2024Inspection & ComplianceFacility of voluntary freezing/blocking of Trading Accounts by ClientsMCX/INSP/483/2024MCX
43 18-07-2024DepositoryAdditional Criteria For Dormant Demat AccountsCDSL/OPS/DP/POLCY/2024/400CDSL
44 16-07-2024SEBICross Margin benefits for offsetting positions having different expiry datesNCL/CMPT/62978SEBI, NSE, BSE
45 11-07-2024Inspection & ComplianceAdvisory for Enhancement of API Authentication & Security for Trading MemberNSE/INSP/62912NSE
46 10-07-2024Inspection & ComplianceFacility of voluntary freezing/blocking of Trading Accounts by Clients20240710-2 BSE
47 08-07-2024Inspection & ComplianceFinancing of Securities / Commodities TransactionsMCX/INSP/449/2024 MCX
48 05-07-2024Inspection & ComplianceEnforcement actions against the Trading MembersNSE/INSP/62813NSE
49 05-07-2024Inspection & ComplianceFacility of voluntary freezing/blocking of Trading Accounts by ClientsNSE/INSP/62822 NSE
50 05-07-2024Inspection & ComplianceEnhancement of operational efficiency and Risk Reduction - Pay-out of securities directly to client demat account.20240705-37BSE
51 05-07-2024Inspection & ComplianceEnhancement of operational efficiency and Risk Reduction - Pay-out of securities directly to client demat accountNSE/ISC/62810NSE
52 04-07-2024SEBIModification to Enhanced Supervision of Stock Brokers and Depository Participants"SEBI/HO/MIRSD/MIRSD-PoD1/P/CIR/2024/95 "SEBI
53 04-07-2024SEBIMeasures to instill confidence in securities market - Brokers' institutional mechanism for prevention and detection of fraud or market abuseSEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2024/96SEBI
54 04-07-2024Inspection & ComplianceFinancing of securities transactions – sharing of data by Trading MembersNSE/INSP/62793NSE
55 04-07-2024Inspection & ComplianceConvenience and Ease of Trading for the Clients20240704-40BSE
56 02-07-2024Inspection & ComplianceQuarterly Cyber Incident Reporting of Cyber Security & Cyber Resilience framework for StockbrokersNSE/INSP/62737NSE
57 28-06-2024Inspection & ComplianceRestriction on use of certain words by Trading Members/Authorized Person in their nameNSE/COMP/62672NSE, BSE, MCX
58 28-06-2024Inspection & ComplianceChange in timings for Early pay-in and Collateral releaseNSE/COMP/62678NSE
59 28-06-2024Inspection & ComplianceSubmission of Associate details by Clearing MembersNCL/CMPL/62689NSE
60 27-06-2024Inspection & ComplianceRelease of Collaterals on Date of Settlement of Running Account of Client’s FundsMCX/MCXCCL/426/2024MCX
61 26-06-2024Inspection & Compliance"Operational guidelines and SOP on Upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs)"NCL/CMPL/62634NSE
62 21-06-2024Inspection & CompliancePolicy on Handling of Good Till Cancelled Orders offered by Members to ClientsNSE/INSP/62528NSE
63 20-06-2024DepositorySURVEILLANCE OBLIGATION OF DP AND AMENDMENT IN QUARTERLY REPORTING FORMATCDSL/OPS/DP/SYSTM/2024/341CDSL
64 20-06-2024Inspection & ComplianceRegistration of Lines of Business (LOBs) on FINNET 2.0NSE/COMP/62541 NSE, BSE, MCX
65 20-06-2024DepositorySurveillance Obligation Of Depository Participant And Amendment In Quarterly Reporting FormatCDSL/OPS/DP/SYSTM/2024/341CDSL
66 19-06-2024Inspection & ComplianceRevised Penalty/Action for violation of Exchange guidelines by the MembersMCX/MEM/406/2024MCX
67 14-06-2024Inspection & ComplianceGuidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011NSE/ISC/62456NSE, BSE, MCX
68 14-06-2024Inspection & Compliance"Introduction Of Rejection Reason For Pledge And Unpledge Request"CDSL/OPS/DP/POLCY/2024/326CDSL
69 10-06-2024Inspection & ComplianceUpdation of KMP detailsNSE/COMP/62391NSE
70 10-06-2024SEBI(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 DetailsSEBI/HO/MIRSD/POD-1/P/CIR/2024/81SEBI
71 07-06-2024DepositoryImplementation Of Two Factor Authentication In Easi & Easiest LoginCDSL/OPS/DP/EASI/2024/310CDSL
72 07-06-2024DepositoryIntroduction Of Rejection Reason For Pledge And Unpledge RequestCDSL/OPS/DP/P OLCY/2024/314CDSL
73 07-06-2024Inspection & ComplianceMembership Compliance - Revision/Updates to the New Membership/Ongoing Membership CompliancesNCL/CMPL/62376NSE
74 06-06-2024SEBIUploading of KYC information by KYC Registration Agencies (KRAs) to Central KYC Records Registry (CKYCRR)SEBI/HO/MIRSD/SECFATF/P/CIR/2024/79SEBI
75 01-06-2024SEBIEnhancement of operational efficiency and Risk Reduction - Pay-out of securities directly to client demat accountSEBI/HO/MIRSD/MIRSD-PoD1/P/CIR/2024/75SEBI
76 30-05-2024SEBIEase of Doing Business – Internet Based Trading for Stock BrokersSEBI/HO/MRD/TPD-1/P/CIR/2024/68SEBI
77 30-05-2024Inspection & ComplianceInternal Audit of Trading Members - Extension of timeline for submissionNSE/INSP/ 62239NSE, BSE, MCX
78 30-05-2024Inspection & CompliancePenalty Structure with respect to Unauthorized TradesMCX/ISD/359/2024MCX
79 29-05-2024SEBIInvestor Charter for Depositories and Depository ParticipantsSEBI/HO/MRD/MRD-PoD-1/P/CIR/2024/66SEBI
80 29-05-2024Inspection & CompliancePenalty Structure related to the Ongoing Membership CompliancesNCL/CMPL/62227NSE
81 28-05-2024Inspection & CompliancePenalty structure for non-compliance with oversight of Authorised Persons by the trading members.20240528-25BSE
82 28-05-2024Inspection & ComplianceReminder_Providing facility to view KRA status and guidance to update the KRA requirement on tradingNSE/ISC/57977NSE
83 27-05-2024Inspection & ComplianceDiscontinuation of Reporting of Trading Member-wise details of cash & cash equivalent collateral (referred as Annexure 2)NCL/CMPL/62167NSE
84 24-05-2024Inspection & ComplianceMandatory Insurance Cover for FY 2024-25NSE/COMP/62173NSE
85 23-05-2024Inspection & Compliance'Clarification On Handling Of Clients’ Securities By Trading Members (Tm) / Clearing Members (Cm)CDSL/OPS/DP/SETTL/2024/279CDSL
86 22-05-2024SEBIMaster Circular for Stock BrokersSEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2024/53SEBI
87 22-05-2024Inspection & ComplianceAdministrative actions for shortfall in the networth of Trading MembersNSE/INSP/62146NSE
88 22-05-2024Inspection & ComplianceList of authorized mobile applications and social media handles of Trading membersNSE/INSP/62147NSE, BSE, MCX
89 21-05-2024DepositoryAmendments To Dp Operating Instructions Chapter - 4CDSL/OPS/DP/POLCY/2024/270CDSL
90 16-05-2024Inspection & ComplianceOperational guidelines and SOP on Upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs)NCL/CMPL/62058NSE
91 14-05-2024SEBIReview of validation of KYC records by KRAs under Risk Management FrameworkSEBI/HO/MIRSD/SECFATF/P/CIR/2024/41SEBI
92 13-05-2024Inspection & ComplianceRevision in Contract Note FormatNSE/INSP/61999NSE, BSE
93 06-05-2024Inspection & ComplianceDiscontinuation of Reporting requirement of Summary of Settlement of Clients’ FundsNSE/INSP/61904NSE, BSE, MCX
94 06-05-2024SEBIEntities allowed to use e-KYC Aadhaar Authentication services of UIDAI in Securities Market as sub-KUASEBI/HO/MIRSD/SECFATF/P/CIR/2024/36SEBI
95 30-04-2024Inspection & ComplianceEmpanelment of Backoffice Vendors20240430-62BSE, MCX
96 30-04-2024DepositoryInsurance Policy For SecuritiesCDSL/L&CS/DP/POLCY/2024/233CDSL
97 29-04-2024Inspection & ComplianceSystem Audit of Trading MemberMCX/TECH/269/2024MCX
98 29-04-2024Inspection & ComplianceCyber Security & Cyber Resilience Audit of Trading MembersMCX/TECH/268/2024 MCX
99 25-04-2024Inspection & ComplianceAdvisory on Impersonation and Unauthorised Market PracticesNCL/INSP/61754NSE, BSE, MCX
100 25-04-2024Inspection & ComplianceSegregation and Monitoring of Collateral at Client Level- Reporting FormatNCL/CMPL/61744NSE, BSE, MCX
101 22-04-2024Inspection & ComplianceGuidelines For Online Closure Of Demat AccountsCDSL/OPS/DP/POLCY/2024/210CDSL
102 18-04-2024DepositoryDp Operating Instructions As Of March – 2024 Chapters & AnnexuresCDSL/OPS/DP/POLCY/2024/208CDSL
103 12-04-2024Inspection & ComplianceSubmission of Internal Audit Report for half year ended March 31, 2024NSE/INSP/ 61585NSE, BSE, MCX
104 12-04-2024Inspection & ComplianceRisk Based Supervision (RBS) - Submission of information for the period April 01, 2023 - March 31, 2024 (Financial Year ended March - 2024)NSE/INSP/61572NSE, BSE, MCX
105 10-04-2024Inspection & ComplianceGuidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 201120240410-50BSE, NSE
106 08-04-2024Inspection & ComplianceIntroduction of Voluntary disablement process on ENIT – New ComplianceNSE/COMP/61506NSE, BSE, MCX
107 08-04-2024Inspection & ComplianceFramework for Trading Members to provide the facility of voluntary freezing/blocking the online access of the trading account to their clientsNSE/INSP/61529NSE, BSE, MCX
108 06-04-2024Inspection & ComplianceHandling of Clients' Securities by Trading Members (TM) / Clearing Members (CM) NSE/INSP/61507NSE
109 06-04-2024Inspection & ComplianceOperational Guidelines and SOP for Monitoring of client funds under Enhanced SupervisionNSE/INSP/61508NSE, BSE
110 05-04-2024SEBIEntities allowed to use e-KYC Aadhaar Authentication services of UIDAI in Securities Market as sub-KUASEBI/HO/MIRSD/SECFATF/P/CIR/2024/21SEBI
111 05-04-2024NSE - KRAChanges with respect to online pan verification with income tax departmentNSE/KRA/2024/08NSE
112 03-04-2024Inspection & ComplianceSubmission of Half Yearly Networth Certificate as on March 31, 2024NSE/COMP/61433NSE, BSE, MCX
113 03-04-2024Inspection & ComplianceQuarterly Cyber Incident Reporting of Cyber Security and Cyber Resilience Framework for StockbrokersNSE/INSP/61453NSE
114 01-04-2024Inspection & ComplianceReporting of Artificial Intelligence (AI) and Machine Learning (ML) applications and systems offered and used by market intermediariesNSE/COMP/61401NSE, MCX
115 01-04-2024Inspection & ComplianceInformation sharing on Cyber Security IncidentMCX/TECH/194/2024MCX
116 01-04-2024SEBISCORES 2.0 New Technology to strengthen SEBI Complaint Redressal System for InvestorsPR No.: 6/2024SEBI
117 28-03-2024Inspection & Compliance Restriction on use of certain words by Trading Members/Authorized Persons in their nameNSE/COMP/61367NSE
118 28-03-2024Inspection & ComplianceEmpanelment of Back office vendorsNSE/COMP/61375NSE
119 28-03-2024Inspection & ComplianceReporting for Artificial Intelligence (AI) and Machine Learning (ML) applications and systems offered and used by market intermediaries20240328-23BSE
120 27-03-2024Inspection & ComplianceOnline Reporting of Technical Glitch IncidentsNSE/COMP/61323NSE
121 27-03-2024Inspection & ComplianceSubmission of Half Yearly Net worth Certificate as on March 31, 2024NSE/COMP/61335NSE
122 27-03-2024DepositoryImplementation Of Two Factor Authentication For Accessing Audit web PortalCDSL/AUDIT/DP/POLCY/2024/171CDSL
123 26-03-2024Inspection & ComplianceMembership Compliance – Revision/Updates to the Ongoing Membership CompliancesNCL/CMPL/61314NSE
124 22-03-2024Inspection & ComplianceSubmission of Half Yearly Internal Audit Report by Clearing MembersNCL/CMPL/61288NSE, BSE
125 21-03-2024SEBIIntroduction of Beta version of T+0 rolling settlement cycle on optional basis in addition to the existing T+1 settlement cycle in Equity Cash MarketsSEBI/HO/MRD/MRD-PoD-3/P/CIR/2024/20SEBI
126 21-03-2024Inspection & ComplianceSubmission of VAPT Compliance Report for the FY 2023-24NSE/INSP/61250NSE
127 21-03-2024Inspection & Compliance"FATF Public statement on jurisdictions on call for action and increased monitoring – Feb 2024 Plenary"NSE/INSP/ 61267NSE, BSE, MCX, CDSL
128 20-03-2024SEBISafeguards to address the concerns of the investors on transfer of securities in dematerialized modeSEBI/HO/MRD/MRD-PoD-2/P/CIR/2024/18SEBI
129 19-03-2024Inspection & ComplianceSegregation and Monitoring of Collateral at Client Level- Reporting FormatNCL/CMPL/61186NSE
130 18-03-2024Inspection & ComplianceSegregation and Monitoring of Collateral at Client Level- Reporting FormatNCL/CMPL/61186NSE, BSE, MCX
131 15-03-2024Inspection & ComplianceAnnual Calendar and Operational Guidelines for Settlement of Running Account of clients' funds lying with the Trading MembersNSE/INSP/61164NSE
132 13-03-2024Inspection & ComplianceDiscontinuation of Reporting of Client Level Cash and Cash Equivalent BalancesNSE/INSP/61121NSE, BSE
133 13-03-2024Inspection & ComplianceChange in PAN Verification Mechanism MCX/S&I/142/2024MCX
134 11-03-2024SEBIMeasures to instill trust in securities market – Expanding the framework of Qualified Stock Brokers (QSBs) to more stock brokersSEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2024/14SEBI, NSE, BSE, MCX
135 04-03-2024Inspection & ComplianceFramework for Empanelment of Auditors for conducting Internal Audit of Trading MembersNSE/INSP/60986NSE, BSE, MCX
136 26-02-2024Inspection & ComplianceAnnual Maintenance Charges towards Authorised PersonsNSE/COMP/60859NSE
137 23-02-2024Inspection & ComplianceOperation of Trading TerminalsNSE/COMP/60832NSE
138 20-02-2024SEBICentralization 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/2024/12SEBI
139 15-02-2024Inspection & ComplianceAadhaar seeding with PAN - Non Resident Indian (NRI) ClientsNSE/ISC/60731NSE
140 15-02-2024DepositoryReporting Of Cyber IncidentsCDSL/A,I&C/DP/POLCY/2024/96CDSL
141 13-02-2024SEBISEBI cautions public against dealing with unregistered entitiesPR No.02/2024SEBI
142 12-02-2024Inspection & ComplianceIntroduction of Digital representation of Penalty Review RequestsNCL/CMPL/60651NSE
143 07-02-2024Inspection & ComplianceGuidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011NSE/ISC/60600NSE
144 05-02-2024Inspection & ComplianceFacility for viewing of penalties at NCLNCL/CMPL/60552NSE
145 29-01-2024DepositoryNew Status And Sub-Status For Demat AccountsCDSL/OPS/DP/SYSTM/2024/64CDSL
146 20-01-2024Inspection & ComplianceOperational guidelines and SOP on Upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs)NSE/INSP/60369NSE
147 19-01-2024Inspection & CompliancePerformance/return claimed by unregulated platforms offering algorithmic strategies for tradingNSE/COMP/60341NSE
148 19-01-2024Inspection & ComplianceUpstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs)20240119-30BSE
149 17-01-2024Inspection & ComplianceOnline Registration of Trading MembersNSE/COMP/60295NSE
150 16-01-2024Inspection & ComplianceCautionary Messages on Trading Terminal - UpdateNSE/SURV/60281NSE
151 16-01-2024Inspection & ComplianceDiscontinuation of Submission of data towards Monitoring of client funds under Enhanced SupervisionNSE/INSP/60283NSE
152 12-01-2024SEBIEase of Doing Investments by Investors- Facility of voluntary freezing/ blocking of Trading Accounts by ClientsSEBI/HO/MIRSD/POD-1/P/CIR/2024/4SEBI
153 12-01-2024SEBIEase of doing business- Changes in reportingSEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2024/03SEBI
154 05-01-2024Inspection & Compliance Most Important Terms and Conditions (MITC)NSE/INSP/60147NSE
155 05-01-2024SEBIFramework for Short SellingSEBI/HO/MRD/MRD-PoD-3/P/CIR/2024/1SEBI
156 04-01-2024Inspection & ComplianceCentralized Mechanism for reporting the demise of an investor through KRAs - SOPNSE/ISC/60115NSE
157 01-01-2024Inspection & ComplianceSegregation and Monitoring of Collateral at Client Level (Additional Reason codes for UPI Clients)20240101-13BSE
158 29-12-2023Inspection & ComplianceRelease of Collaterals on Date of Settlement of Running Account of Client’s FundsMCX/MCXCCL/945/2023MCX
159 26-12-2023Inspection & ComplianceFramework to address the 'technical glitches' in Member's Electronic Trading SystemsNSE/COMP/54876NSE
160 23-12-2023Inspection & ComplianceUniform penalty structure for Clearing MembersNCL/CMPL/59930NSE
161 18-12-2023Inspection & ComplianceAdministrative actions for terminal(s) not found at the reported location(s)NSE/INSP/59809NSE
162 23-10-2023Inspection & ComplianceGuidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011NSE/ISC/59051NSE
163 02-09-2023Inspection & ComplianceGuidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011NSE/ISC/58200NSE
164 29-08-2023Inspection & ComplianceFAQ on Upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs)NSE/INSP/58146 NSE
165 29-08-2023Inspection & ComplianceFAQ on Upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs)20230829-72BSE
166 24-08-2023Inspection & ComplianceNomination for Eligible Trading and Demat AccountsNSE/ISC/58079NSE
167 24-08-2023Inspection & ComplianceNomination for Eligible Trading and Demat Accounts20230824-61BSE
168 19-08-2023Inspection & ComplianceValidation of Email ID/Mobile number in KYC20230819-6BSE
169 18-08-2023Inspection & ComplianceGuidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011NSE/ISC/58027NSE
170 18-08-2023Inspection & ComplianceGuidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 201120230818-44BSE
171 12-08-2023Inspection & ComplianceFAQ on Upstreaming of clients’ funds by Stockbrokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs)20230812-1BSE
172 11-08-2023Inspection & ComplianceFAQ on Upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs)NSE/INSP/57959NSE
173 04-08-2023SEBICorrigendum cum Amendment to Circular dated July 31, 2023 on Online Resolution of Disputes in the Indian Securities MarketSEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/135SEBI
174 31-07-2023SEBI Online Resolution of Disputes in the Indian Securities MarketSEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/131SEBI
175 23-06-2023ComplianceMapping of Unique Client Code (UCC) with demat account of the clients20230623-58BSE
176 23-06-2023Inspection & ComplianceReporting of Bank Account & Demat AccountNSE/INSP/57266NSE
177 23-06-2023SEBITrading supported by Blocked Amount in Secondary MarketSEBI/HO/MRD/MRD-PoD-2/P/CIR/2023/99SEBI
178 21-06-2023SEBITrading Preferences by ClientsSEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/95SEBI
179 19-06-2023Settlement/RMSAdditional Exposure Margin on Securities under MWPL20230619-10BSE
180 14-06-2023Inspection & ComplianceGuidelines/clarifications on Margin collection & reportingNSE/INSP/57112NSE
181 14-06-2023Inspection & ComplianceRisk disclosure with respect to trading by individual traders in Equity Futures & Options Segment.NSE/INSP/57111NSE
182 12-06-2023NSE Clearing - Capital MarketDiscontinuation of acceptance of securities as collateral through approved custodiansNCL/CMPT/57048NSE
183 08-06-2023SEBIUpstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs)SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/84SEBI
184 02-06-2023Inspection & ComplianceMarket Access through Authorised PersonsNSE/COMP/56947NSE
185 31-05-2023Inspection & ComplianceCorrigendum - FAQ for Reporting of Bank Guarantees (BGs) created out of clients' fundsNCL/CMPL/56900NSE
186 30-05-2023Settlement/RMSSegregation and Monitoring of Collateral at Client Level- Reporting20230530-47BSE
187 22-05-2023NSE Clearing - Capital MarketClarification on Collateral reporting against Short Allocation of CollateralsNCL/CMPT/56785NSE
188 22-05-2023Member Service DepartmentOperation of Trading TerminalsNSE/MSD/56778NSE
189 22-05-2023Inspection & CompliancePenalty Provisions for trading terminals without having valid certificationNSE/INSP/56784NSE
190 19-05-2023Inspection & ComplianceReporting of Bank Guarantees (BGs) created out of clients' fundsNCL/CMPL/56762NSE
191 19-05-2023SEBIRisk disclosure with respect to trading by individual traders in Equity Futures & Options SegmentSEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/73SEBI
192 18-05-2023Surveillance & InvestigationModification of Client Codes (All Segments) - Delivery versus Payment (DVP) ReportingNSE/INVG/56755NSE
193 16-05-2023Legal, ISC & ArbitrationNomination for Eligible Trading and Demat AccountsNSE/ISC/56728NSE
194 05-05-2023Inspection & ComplianceDaily reporting of Short-collection/Non-collection of client marginNCL/CMPL/56624NSE
195 27-04-2023Settlement/RMSSegregation and Monitoring of Collateral at Client Level - Penalty mechanism for Short Allocation20230427-28BSE
196 26-04-2023Inspection & ComplianceGuidelines/clarification on Margin collection & reportingNSE/INSP/56512NSE
197 26-04-2023Legal, ISC & ArbitrationFramework for automated deactivation of trading and demat accounts in cases of inadequate KYCsNSE/ISC/56507NSE
198 25-04-2023Inspection & ComplianceBank Guarantees (BGs) created out of clients’ fundsNSE/INSP/56489NSE
199 21-04-2023Legal, ISC & ArbitrationGuidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011NSE/ISC/56457NSE
200 17-04-2023Surveillance & InvestigationModification of Client Codes (All Segments) - UpdateNSE/INVG/56395NSE
201 28-03-2023Legal, ISC & ArbitrationAadhar seeding with PANNSE/ISC/56173NSE
202 28-03-2023Legal, ISC & ArbitrationNomination for Eligible Trading and Demat Accounts - Extension of timelines for existing account holdersNSE/ISC/56153NSE
203 27-03-2023ComplianceSettlement of Running Account of Client’s Funds lying with Trading Member - TM20230327-70BSE
204 24-03-2023Inspection & ComplianceTRAI - Guidelines to curb spam SMSes and misuse of Headers and Content Templates by unauthorized Telemarketers (UTMs)NSE/COMP/56114NSE
205 17-03-2023Inspection & ComplianceRestriction on use of certain words by Trading Members/Authorized Person in their Person NSE/COMP/56041NSE
206 22-02-2023Inspection & ComplianceRestriction on use of certain words by Trading Member/Authorized Person in their nameNSE/COMP/55716NSE
207 20-02-2023Futures & OptionsPenalty for intraday short allocation of collateralsNCL/CMPT/55689NSE
208 15-02-2023SEBIMaintenance of a website by stock brokers and depository participantsSEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/30SEBI
209 06-02-2023Post TradeAPI based facility for Collateral and Margin details20230206-53BSE
210 02-02-2023Legal, ISC & ArbitrationNomination for Eligible Trading and Demat Accounts NSE/ISC/55473 NSE
211 02-02-2023Inspection & ComplianceRevised Code of Advertisement for Stock BrokersNSE/COMP/55482NSE
212 01-02-2023SEBIChanges to the Framework to Enable Verification of Upfront Collection of Margins from Clients in Cash and Derivatives SegmentsSEBI/HO/MRD/MRD-PoD-2/P/CIR/2023/016SEBI
213 27-01-2023Membership and ComplianceClarification on Margin collection & reportingMCX/INSP/303/2022MCX
214 27-01-2023Post TradeT+1 Settlement Number and Funds settlement in equity cash segment20230127-9BSE
215 27-01-2023Futures & OptionsPre-Trade risk controls - Limit Price Protection - UpdateNSE/FAOP/55396 NSE
216 27-01-2023NSE Clearing - Capital MarketMaintaining Capital Cushion NCL/CMPT/55394NSE
217 27-01-2023Inspection & ComplianceDisplay of Details of Client Bank Accounts on WebsiteNSE/INSP/55402 NSE
218 27-01-2023Finance & AccountsExcess STT retained NSE/FATAX/55386NSE
219 27-01-2023Inspection & ComplianceEarly Pay-in of fundsNSE/INSP/55401NSE
220 25-01-2023NSE Clearing - Capital MarketShort Allocation of CollateralsNCL/CMPT/55381NSE
221 25-01-2023Surveillance & InvestigationClient due diligenceNSE/INVG/55347NSE
222 25-01-2023Inspection & ComplianceApplication Programming Interface (API) for daily submission of Holding Statement and Bank BalancesNSE/INSP/55380NSE
223 20-01-2023Post TradeSegregation and Monitoring of Collateral at Client Level- Update20230120-19BSE
224 20-01-2023Futures & OptionsGuidelines for Net Settlement of Capital Market Segment and Futures and Options (F&O) Segment upon expiry of stock derivatives NCL/CMPT/55330NSE
225 05-01-2023Inspection & ComplianceReporting requirement on Settlement of Running Account of Clients’ Funds lying with Trading MemberNSE/INSP/55135NSE
226 05-01-2023Inspection & ComplianceEncouraging more retail investors to participate in voting on motions moved by Listed CompaniesNSE/COMP/55151NSE
227 28-12-2022Inspection & ComplianceApplication Programming Interface (API) for daily submissions of Holding Statement and Bank BalancesNSE/INSP/55039NSE
228 28-12-2022Inspection & ComplianceReporting requirement on Settlement of Running Account of Clients’ Funds lying with Trading Member ™NSE/INSP/55024NSE
229 26-12-2022Inspection & ComplianceMarket Data Broadcasts Advisory and Member GuideNSE/COMP/54765NSE
230 07-12-2022Inspection & ComplianceDisplay of Brokerage, Statutory & Regulatory LeviesNSE/INSP/54746NSE
231 02-12-2022Inspection & ComplianceEmpanelment of Backoffice vendorsNSE/COMP/54706NSE
232 25-11-2022Inspection & ComplianceGuidelines on Compliance OfficersNSE/COMP/54600NSE
233 25-11-2022Inspection & ComplianceExtension of timelines for implementation of SEBI circularsNSE/INSP/54618NSE
234 11-11-2022Inspection & ComplianceHandling of Clients’ Securities by Trading Members(TM) / Clearing Members (CM)NSE/INSP/54390NSE
235 04-11-2022Membership ComplianceGuidelines to determine celebrity status for the purpose of issuing advertisements20221104-34BSE
236 25-10-2022Surveillance & InvestigationCaution towards dealing with Unsolicited Messages/Videos/any other reference NSE/INVG/54196NSE
237 28-09-2022Inspection & ComplianceSegregation and Monitoring of Collateral at Client Level- PenaltyNCL/CMPL/53867NSE
238 23-09-2022Inspection & ComplianceFAQ on Settlement of Running Account of Client’s Funds lying with Trading Member ™NSE/INSP/53820NSE
239 22-09-2022Inspection & ComplianceClarification to the Rule 8(1)(f) and 8(3)(f) of Securities Contracts (Regulation) Rules, 1957NSE/COMP/53802NSE
240 19-09-2022NSE Clearing - Capital MarketValidation of Instructions for Pay-In of Securities from Client demat account to Trading Member (TM) Pool Account against obligations received from the Clearing CorporationsNCL/CMPT/53746NSE
241 07-09-2022Inspection & CompliancePerformance/return claimed by unregulated platforms offering algorithmic strategies for tradingNSE/COMP/53555NSE
242 06-09-2022MCXCCLAlternate Risk Management Framework Applicable in case of Near Zero and Negative PricesMCX/MCXCCL/516/2022MCX
243 02-09-2022Inspection & ComplianceEnforcement actions against the Trading MembersNSE/INSP/53530NSE
244 30-08-2022Legal, ISC & ArbitrationFramework for automated deactivation of trading and demat accounts in cases of inadequate KYCsNSE/ISC/53482NSE
245 22-08-2022NSE Clearing - Capital MarketSEBI circular on Block Mechanism in demat account of clients undertaking sale transactionsNCL/CMPT/53386NSE
246 19-08-2022Post TradeSegregation and Monitoring of Collateral at Client Level - Penalty mechanism for EOD Short Allocation20220819-5BSE
247 12-08-2022Inspection & ComplianceClarification on the Brokerage, Statutory & Regulatory LeviesNSE/INSP/53297NSE
248 08-08-2022Legal, ISC & ArbitrationAdherence to KYC requirementsNSE/ISC/53233NSE
249 01-08-2022Inspection & ComplianceUnique Device Identifier for orders placed through Internet Based Trading (IBT) and Securities trading using Wireless Technology (STWT)NSE/COMP/53164NSE
250 15-07-2022Futures & OptionsReport for EOD short allocation of collateralNCL/CMPT/52987NSE
251 06-07-2022Inspection & CompliancePrecautions for clients dealing in OptionsNSE/INSP/52900NSE
252 04-07-2022Currency DerivativesUCC and PAN verification NSE/CD/52850NSE
253 24-06-2022Legal, ISC & ArbitrationInvestor Grievance Redressal MechanismNSE/ISC/52728NSE
254 23-06-2022Inspection & ComplianceGuidelines/clarifications on Margin collection & reportingNSE/INSP/52711NSE
255 14-06-2022Inspection & ComplianceImplementation of Two Factor AuthenticationNSE/COMP/52623NSE
256 07-06-2022Inspection & Compliance Issuance of Electronic Contract Notes (ECN) through SMS/electronic instant messaging servicesNSE/INSP/52604NSE
257 24-05-2022 Membership and Compliance Clarification on Margin collection & reportingMCX/INSP/303/2022MCX
258 31-03-2022Inspection & ComplianceSettlement of Running Account of Client's Funds lying with Trading Member (TM)NSE/INSP/51830NSE
259 25-03-2022Inspection & ComplianceRevision in Contract Note FormatNSE/INSP/51772NSE
260 25-03-2022Inspection & ComplianceUnauthorised Market Practices by Trading MembersNSE/INSP/51770NSE
261 24-02-2022Inspection & ComplianceNomination for Eligible Trading and Demat Accounts - Extension of timelines and relaxations for existing account holdersNSE/INSP/51438NSE
262 24-02-2022Inspection & ComplianceSegregation and Monitoring of Collateral at Client Level - Extension of timelineNSE/INSP/51437NSE
263 08-02-2022Inspection & ComplianceClarification 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 KYCNSE/INSP/51278NSE
264 13-12-2021Inspection & ComplianceApproved user/ PersonsNSE/COMP/50576NSE
265 21-10-2021Inspection & ComplianceMarket Access through Authorised PersonsNSE/COMP/50030NSE
266 12-10-2021Inspection & ComplianceGuidelines/clarification on Margin collection and reportingNSE/INSP/49929NSE
267 27-09-2021Inspection & ComplianceTreatment of Inactive Trading AccountNSE/INSP/49743NSE
268 03-09-2021Inspection & ComplianceReporting of clients mapped to Authorised Persons (AP)NSE/COMP/49509NSE
269 31-08-2021Inspection & ComplianceFAQ on Settlement of Running Account of Client's Funds lying with Trading Member (TM)NSE/INSP/49458NSE
270 17-08-2021Inspection & ComplianceOnline Closure of Trading AccountsNSE/INSP/49323NSE
271 26-07-2021Inspection & ComplianceOnline Closure of Trading AccountsNSE/INSP/49055NSE
272 20-07-2021Inspection & ComplianceSegregation and Monitoring of Collateral at Client LevelNSE/INSP/49008NSE
273 16-06-2021Inspection & ComplianceSettlement of Running Account of Client's Funds lying with Trading Member (TM)NSE/INSP/48624NSE
274 09-06-2021Inspection & ComplianceMarket Access through Authorised PersonsNSE/COMP/48536NSE
275 09-06-2021Inspection & ComplianceFAQs on Margin Trading Facility (MTF)NSE/COMP/48531NSE
Notice