1
| 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 |
2
| 31-07-2023 | SEBI | Online Resolution of Disputes in the Indian Securities Market | SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/131 | SEBI |
3
| 23-06-2023 | Inspection & Compliance | Reporting of Bank Account & Demat Account | NSE/INSP/57266 | NSE |
4
| 23-06-2023 | SEBI | Trading supported by Blocked Amount in Secondary Market | SEBI/HO/MRD/MRD-PoD-2/P/CIR/2023/99 | SEBI |
5
| 23-06-2023 | Compliance | Mapping of Unique Client Code (UCC) with demat account of the clients | 20230623-58 | BSE |
6
| 21-06-2023 | SEBI | Trading Preferences by Clients | SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/95 | SEBI |
7
| 19-06-2023 | Settlement/RMS | Additional Exposure Margin on Securities under MWPL | 20230619-10 | BSE |
8
| 14-06-2023 | Inspection & Compliance | Guidelines/clarifications on Margin collection & reporting | NSE/INSP/57112 | NSE |
9
| 14-06-2023 | Inspection & Compliance | Risk disclosure with respect to trading by individual traders in Equity Futures & Options Segment. | NSE/INSP/57111 | NSE |
10
| 12-06-2023 | NSE Clearing - Capital Market | Discontinuation of acceptance of securities as collateral through approved custodians | NCL/CMPT/57048 | NSE |
11
| 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 |
12
| 02-06-2023 | Inspection & Compliance | Market Access through Authorised Persons | NSE/COMP/56947 | NSE |
13
| 31-05-2023 | Inspection & Compliance | Corrigendum - FAQ for Reporting of Bank Guarantees (BGs) created out of clients' funds | NCL/CMPL/56900 | NSE |
14
| 30-05-2023 | Settlement/RMS | Segregation and Monitoring of Collateral at Client Level- Reporting | 20230530-47 | BSE |
15
| 22-05-2023 | NSE Clearing - Capital Market | Clarification on Collateral reporting against Short Allocation of Collaterals | NCL/CMPT/56785 | NSE |
16
| 22-05-2023 | Member Service Department | Operation of Trading Terminals | NSE/MSD/56778 | NSE |
17
| 22-05-2023 | Inspection & Compliance | Penalty Provisions for trading terminals without having valid certification | NSE/INSP/56784 | NSE |
18
| 19-05-2023 | Inspection & Compliance | Reporting of Bank Guarantees (BGs) created out of clients' funds | NCL/CMPL/56762 | NSE |
19
| 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 |
20
| 18-05-2023 | Surveillance & Investigation | Modification of Client Codes (All Segments) - Delivery versus Payment (DVP) Reporting | NSE/INVG/56755 | NSE |
21
| 16-05-2023 | Legal, ISC & Arbitration | Nomination for Eligible Trading and Demat Accounts | NSE/ISC/56728 | NSE |
22
| 05-05-2023 | Inspection & Compliance | Daily reporting of Short-collection/Non-collection of client margin | NCL/CMPL/56624 | NSE |
23
| 27-04-2023 | Settlement/RMS | Segregation and Monitoring of Collateral at Client Level - Penalty mechanism for Short Allocation | 20230427-28 | BSE |
24
| 26-04-2023 | Inspection & Compliance | Guidelines/clarification on Margin collection & reporting | NSE/INSP/56512 | NSE |
25
| 26-04-2023 | Legal, ISC & Arbitration | Framework for automated deactivation of trading and demat accounts in cases of inadequate KYCs | NSE/ISC/56507 | NSE |
26
| 25-04-2023 | Inspection & Compliance | Bank Guarantees (BGs) created out of clients’ funds | NSE/INSP/56489 | NSE |
27
| 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 |
28
| 17-04-2023 | Surveillance & Investigation | Modification of Client Codes (All Segments) - Update | NSE/INVG/56395 | NSE |
29
| 28-03-2023 | Legal, ISC & Arbitration | Aadhar seeding with PAN | NSE/ISC/56173 | NSE |
30
| 28-03-2023 | Legal, ISC & Arbitration | Nomination for Eligible Trading and Demat Accounts - Extension of timelines for existing account holders | NSE/ISC/56153 | NSE |
31
| 27-03-2023 | Compliance | Settlement of Running Account of Client’s Funds lying with Trading Member - TM | 20230327-70 | BSE |
32
| 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 |
33
| 17-03-2023 | Inspection & Compliance | Restriction on use of certain words by Trading Members/Authorized Person in their Person | NSE/COMP/56041 | NSE |
34
| 22-02-2023 | Inspection & Compliance | Restriction on use of certain words by Trading Member/Authorized Person in their name | NSE/COMP/55716 | NSE |
35
| 20-02-2023 | Futures & Options | Penalty for intraday short allocation of collaterals | NCL/CMPT/55689 | NSE |
36
| 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 |
37
| 06-02-2023 | Post Trade | API based facility for Collateral and Margin details | 20230206-53 | BSE |
38
| 02-02-2023 | Legal, ISC & Arbitration | Nomination for Eligible Trading and Demat Accounts | NSE/ISC/55473 | NSE |
39
| 02-02-2023 | Inspection & Compliance | Revised Code of Advertisement for Stock Brokers | NSE/COMP/55482 | NSE |
40
| 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 |
41
| 27-01-2023 | Membership and Compliance | Clarification on Margin collection & reporting | MCX/INSP/303/2022 | MCX |
42
| 27-01-2023 | Post Trade | T+1 Settlement Number and Funds settlement in equity cash segment | 20230127-9 | BSE |
43
| 27-01-2023 | Futures & Options | Pre-Trade risk controls - Limit Price Protection - Update | NSE/FAOP/55396 | NSE |
44
| 27-01-2023 | NSE Clearing - Capital Market | Maintaining Capital Cushion | NCL/CMPT/55394 | NSE |
45
| 27-01-2023 | Inspection & Compliance | Display of Details of Client Bank Accounts on Website | NSE/INSP/55402 | NSE |
46
| 27-01-2023 | Finance & Accounts | Excess STT retained | NSE/FATAX/55386 | NSE |
47
| 27-01-2023 | Inspection & Compliance | Early Pay-in of funds | NSE/INSP/55401 | NSE |
48
| 25-01-2023 | NSE Clearing - Capital Market | Short Allocation of Collaterals | NCL/CMPT/55381 | NSE |
49
| 25-01-2023 | Surveillance & Investigation | Client due diligence | NSE/INVG/55347 | NSE |
50
| 25-01-2023 | Inspection & Compliance | Application Programming Interface (API) for daily submission of Holding Statement and Bank Balances | NSE/INSP/55380 | NSE |
51
| 20-01-2023 | Post Trade | Segregation and Monitoring of Collateral at Client Level- Update | 20230120-19 | BSE |
52
| 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 |
53
| 05-01-2023 | Inspection & Compliance | Reporting requirement on Settlement of Running Account of Clients’ Funds lying with Trading Member | NSE/INSP/55135 | NSE |
54
| 05-01-2023 | Inspection & Compliance | Encouraging more retail investors to participate in voting on motions moved by Listed Companies | NSE/COMP/55151 | NSE |
55
| 28-12-2022 | Inspection & Compliance | Application Programming Interface (API) for daily submissions of Holding Statement and Bank Balances | NSE/INSP/55039 | NSE |
56
| 28-12-2022 | Inspection & Compliance | Reporting requirement on Settlement of Running Account of Clients’ Funds lying with Trading Member ™ | NSE/INSP/55024 | NSE |
57
| 26-12-2022 | Inspection & Compliance | Market Data Broadcasts Advisory and Member Guide | NSE/COMP/54765 | NSE |
58
| 07-12-2022 | Inspection & Compliance | Display of Brokerage, Statutory & Regulatory Levies | NSE/INSP/54746 | NSE |
59
| 02-12-2022 | Inspection & Compliance | Empanelment of Backoffice vendors | NSE/COMP/54706 | NSE |
60
| 25-11-2022 | Inspection & Compliance | Guidelines on Compliance Officers | NSE/COMP/54600 | NSE |
61
| 25-11-2022 | Inspection & Compliance | Extension of timelines for implementation of SEBI circulars | NSE/INSP/54618 | NSE |
62
| 11-11-2022 | Inspection & Compliance | Handling of Clients’ Securities by Trading Members(TM) / Clearing Members (CM) | NSE/INSP/54390 | NSE |
63
| 04-11-2022 | Membership Compliance | Guidelines to determine celebrity status for the purpose of issuing advertisements | 20221104-34 | BSE |
64
| 25-10-2022 | Surveillance & Investigation | Caution towards dealing with Unsolicited Messages/Videos/any other reference | NSE/INVG/54196 | NSE |
65
| 28-09-2022 | Inspection & Compliance | Segregation and Monitoring of Collateral at Client Level- Penalty | NCL/CMPL/53867 | NSE |
66
| 23-09-2022 | Inspection & Compliance | FAQ on Settlement of Running Account of Client’s Funds lying with Trading Member ™ | NSE/INSP/53820 | NSE |
67
| 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 |
68
| 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 |
69
| 07-09-2022 | Inspection & Compliance | Performance/return claimed by unregulated platforms offering algorithmic strategies for trading | NSE/COMP/53555 | NSE |
70
| 06-09-2022 | MCXCCL | Alternate Risk Management Framework Applicable in case of Near Zero and Negative Prices | MCX/MCXCCL/516/2022 | MCX |
71
| 02-09-2022 | Inspection & Compliance | Enforcement actions against the Trading Members | NSE/INSP/53530 | NSE |
72
| 30-08-2022 | Legal, ISC & Arbitration | Framework for automated deactivation of trading and demat accounts in cases of inadequate KYCs | NSE/ISC/53482 | NSE |
73
| 22-08-2022 | NSE Clearing - Capital Market | SEBI circular on Block Mechanism in demat account of clients undertaking sale transactions | NCL/CMPT/53386 | NSE |
74
| 19-08-2022 | Post Trade | Segregation and Monitoring of Collateral at Client Level - Penalty mechanism for EOD Short Allocation | 20220819-5 | BSE |
75
| 12-08-2022 | Inspection & Compliance | Clarification on the Brokerage, Statutory & Regulatory Levies | NSE/INSP/53297 | NSE |
76
| 08-08-2022 | Legal, ISC & Arbitration | Adherence to KYC requirements | NSE/ISC/53233 | NSE |
77
| 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 |
78
| 15-07-2022 | Futures & Options | Report for EOD short allocation of collateral | NCL/CMPT/52987 | NSE |
79
| 06-07-2022 | Inspection & Compliance | Precautions for clients dealing in Options | NSE/INSP/52900 | NSE |
80
| 04-07-2022 | Currency Derivatives | UCC and PAN verification | NSE/CD/52850 | NSE |
81
| 24-06-2022 | Legal, ISC & Arbitration | Investor Grievance Redressal Mechanism | NSE/ISC/52728 | NSE |
82
| 23-06-2022 | Inspection & Compliance | Guidelines/clarifications on Margin collection & reporting | NSE/INSP/52711 | NSE |
83
| 14-06-2022 | Inspection & Compliance | Implementation of Two Factor Authentication | NSE/COMP/52623 | NSE |
84
| 07-06-2022 | Inspection & Compliance | Issuance of Electronic Contract Notes (ECN) through SMS/electronic instant messaging services | NSE/INSP/52604 | NSE |
85
| 24-05-2022 | Membership and Compliance | Clarification on Margin collection & reporting | MCX/INSP/303/2022 | MCX |
86
| 31-03-2022 | Inspection & Compliance | Settlement of Running Account of Client's Funds lying with Trading Member (TM) | NSE/INSP/51830 | NSE |
87
| 25-03-2022 | Inspection & Compliance | Revision in Contract Note Format | NSE/INSP/51772 | NSE |
88
| 25-03-2022 | Inspection & Compliance | Unauthorised Market Practices by Trading Members | NSE/INSP/51770 | NSE |
89
| 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 |
90
| 24-02-2022 | Inspection & Compliance | Segregation and Monitoring of Collateral at Client Level - Extension of timeline | NSE/INSP/51437 | NSE |
91
| 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 |
92
| 13-12-2021 | Inspection & Compliance | Approved user/ Persons | NSE/COMP/50576 | NSE |
93
| 21-10-2021 | Inspection & Compliance | Market Access through Authorised Persons | NSE/COMP/50030 | NSE |
94
| 12-10-2021 | Inspection & Compliance | Guidelines/clarification on Margin collection and reporting | NSE/INSP/49929 | NSE |
95
| 27-09-2021 | Inspection & Compliance | Treatment of Inactive Trading Account | NSE/INSP/49743 | NSE |
96
| 03-09-2021 | Inspection & Compliance | Reporting of clients mapped to Authorised Persons (AP) | NSE/COMP/49509 | NSE |
97
| 31-08-2021 | Inspection & Compliance | FAQ on Settlement of Running Account of Client's Funds lying with Trading Member (TM) | NSE/INSP/49458 | NSE |
98
| 17-08-2021 | Inspection & Compliance | Online Closure of Trading Accounts | NSE/INSP/49323 | NSE |
99
| 26-07-2021 | Inspection & Compliance | Online Closure of Trading Accounts | NSE/INSP/49055 | NSE |
100
| 20-07-2021 | Inspection & Compliance | Segregation and Monitoring of Collateral at Client Level | NSE/INSP/49008 | NSE |
101
| 16-06-2021 | Inspection & Compliance | Settlement of Running Account of Client's Funds lying with Trading Member (TM) | NSE/INSP/48624 | NSE |
102
| 09-06-2021 | Inspection & Compliance | Market Access through Authorised Persons | NSE/COMP/48536 | NSE |
103
| 09-06-2021 | Inspection & Compliance | FAQs on Margin Trading Facility (MTF) | NSE/COMP/48531 | NSE |