S.NoDateDepartmentSubjectDownload Ref. No.Exchange
1 06-02-2023Post TradeAPI based facility for Collateral and Margin details20230206-53BSE
2 02-02-2023Legal, ISC & ArbitrationNomination for Eligible Trading and Demat Accounts NSE/ISC/55473 NSE
3 02-02-2023Inspection & ComplianceRevised Code of Advertisement for Stock BrokersNSE/COMP/55482NSE
4 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
5 27-01-2023Membership and ComplianceClarification on Margin collection & reportingMCX/INSP/303/2022MCX
6 27-01-2023Post TradeT+1 Settlement Number and Funds settlement in equity cash segment20230127-9BSE
7 27-01-2023Futures & OptionsPre-Trade risk controls - Limit Price Protection - UpdateNSE/FAOP/55396 NSE
8 27-01-2023NSE Clearing - Capital MarketMaintaining Capital Cushion NCL/CMPT/55394NSE
9 27-01-2023Inspection & ComplianceDisplay of Details of Client Bank Accounts on WebsiteNSE/INSP/55402 NSE
10 27-01-2023Finance & AccountsExcess STT retained NSE/FATAX/55386NSE
11 27-01-2023Inspection & ComplianceEarly Pay-in of fundsNSE/INSP/55401NSE
12 25-01-2023NSE Clearing - Capital MarketShort Allocation of CollateralsNCL/CMPT/55381NSE
13 25-01-2023Surveillance & InvestigationClient due diligenceNSE/INVG/55347NSE
14 25-01-2023Inspection & ComplianceApplication Programming Interface (API) for daily submission of Holding Statement and Bank BalancesNSE/INSP/55380NSE
15 20-01-2023Post TradeSegregation and Monitoring of Collateral at Client Level- Update20230120-19BSE
16 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
17 05-01-2023Inspection & ComplianceReporting requirement on Settlement of Running Account of Clients’ Funds lying with Trading MemberNSE/INSP/55135NSE
18 05-01-2023Inspection & ComplianceEncouraging more retail investors to participate in voting on motions moved by Listed CompaniesNSE/COMP/55151NSE
19 28-12-2022Inspection & ComplianceApplication Programming Interface (API) for daily submissions of Holding Statement and Bank BalancesNSE/INSP/55039NSE
20 28-12-2022Inspection & ComplianceReporting requirement on Settlement of Running Account of Clients’ Funds lying with Trading Member ™NSE/INSP/55024NSE
21 26-12-2022Inspection & ComplianceMarket Data Broadcasts Advisory and Member GuideNSE/COMP/54765NSE
22 07-12-2022Inspection & ComplianceDisplay of Brokerage, Statutory & Regulatory LeviesNSE/INSP/54746NSE
23 02-12-2022Inspection & ComplianceEmpanelment of Backoffice vendorsNSE/COMP/54706NSE
24 25-11-2022Inspection & ComplianceGuidelines on Compliance OfficersNSE/COMP/54600NSE
25 25-11-2022Inspection & ComplianceExtension of timelines for implementation of SEBI circularsNSE/INSP/54618NSE
26 11-11-2022Inspection & ComplianceHandling of Clients’ Securities by Trading Members(TM) / Clearing Members (CM)NSE/INSP/54390NSE
27 04-11-2022Membership ComplianceGuidelines to determine celebrity status for the purpose of issuing advertisements20221104-34BSE
28 25-10-2022Surveillance & InvestigationCaution towards dealing with Unsolicited Messages/Videos/any other reference NSE/INVG/54196NSE
29 28-09-2022Inspection & ComplianceSegregation and Monitoring of Collateral at Client Level- PenaltyNCL/CMPL/53867NSE
30 23-09-2022Inspection & ComplianceFAQ on Settlement of Running Account of Client’s Funds lying with Trading Member ™NSE/INSP/53820NSE
31 22-09-2022Inspection & ComplianceClarification to the Rule 8(1)(f) and 8(3)(f) of Securities Contracts (Regulation) Rules, 1957NSE/COMP/53802NSE
32 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
33 07-09-2022Inspection & CompliancePerformance/return claimed by unregulated platforms offering algorithmic strategies for tradingNSE/COMP/53555NSE
34 06-09-2022MCXCCLAlternate Risk Management Framework Applicable in case of Near Zero and Negative PricesMCX/MCXCCL/516/2022MCX
35 02-09-2022Inspection & ComplianceEnforcement actions against the Trading MembersNSE/INSP/53530NSE
36 30-08-2022Legal, ISC & ArbitrationFramework for automated deactivation of trading and demat accounts in cases of inadequate KYCsNSE/ISC/53482NSE
37 22-08-2022NSE Clearing - Capital MarketSEBI circular on Block Mechanism in demat account of clients undertaking sale transactionsNCL/CMPT/53386NSE
38 19-08-2022Post TradeSegregation and Monitoring of Collateral at Client Level - Penalty mechanism for EOD Short Allocation20220819-5BSE
39 12-08-2022Inspection & ComplianceClarification on the Brokerage, Statutory & Regulatory LeviesNSE/INSP/53297NSE
40 08-08-2022Legal, ISC & ArbitrationAdherence to KYC requirementsNSE/ISC/53233NSE
41 01-08-2022Inspection & ComplianceUnique Device Identifier for orders placed through Internet Based Trading (IBT) and Securities trading using Wireless Technology (STWT)NSE/COMP/53164NSE
42 15-07-2022Futures & OptionsReport for EOD short allocation of collateralNCL/CMPT/52987NSE
43 06-07-2022Inspection & CompliancePrecautions for clients dealing in OptionsNSE/INSP/52900NSE
44 04-07-2022Currency DerivativesUCC and PAN verification NSE/CD/52850NSE
45 24-06-2022Legal, ISC & ArbitrationInvestor Grievance Redressal MechanismNSE/ISC/52728NSE
46 23-06-2022Inspection & ComplianceGuidelines/clarifications on Margin collection & reportingNSE/INSP/52711NSE
47 14-06-2022Inspection & ComplianceImplementation of Two Factor AuthenticationNSE/COMP/52623NSE
48 07-06-2022Inspection & Compliance Issuance of Electronic Contract Notes (ECN) through SMS/electronic instant messaging servicesNSE/INSP/52604NSE
49 24-05-2022 Membership and Compliance Clarification on Margin collection & reportingMCX/INSP/303/2022MCX
50 31-03-2022Inspection & ComplianceSettlement of Running Account of Client's Funds lying with Trading Member (TM)NSE/INSP/51830NSE
51 25-03-2022Inspection & ComplianceRevision in Contract Note FormatNSE/INSP/51772NSE
52 25-03-2022Inspection & ComplianceUnauthorised Market Practices by Trading MembersNSE/INSP/51770NSE
53 24-02-2022Inspection & ComplianceNomination for Eligible Trading and Demat Accounts - Extension of timelines and relaxations for existing account holdersNSE/INSP/51438NSE
54 24-02-2022Inspection & ComplianceSegregation and Monitoring of Collateral at Client Level - Extension of timelineNSE/INSP/51437NSE
55 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
56 13-12-2021Inspection & ComplianceApproved user/ PersonsNSE/COMP/50576NSE
57 21-10-2021Inspection & ComplianceMarket Access through Authorised PersonsNSE/COMP/50030NSE
58 12-10-2021Inspection & ComplianceGuidelines/clarification on Margin collection and reportingNSE/INSP/49929NSE
59 27-09-2021Inspection & ComplianceTreatment of Inactive Trading AccountNSE/INSP/49743NSE
60 03-09-2021Inspection & ComplianceReporting of clients mapped to Authorised Persons (AP)NSE/COMP/49509NSE
61 31-08-2021Inspection & ComplianceFAQ on Settlement of Running Account of Client's Funds lying with Trading Member (TM)NSE/INSP/49458NSE
62 17-08-2021Inspection & ComplianceOnline Closure of Trading AccountsNSE/INSP/49323NSE
63 26-07-2021Inspection & ComplianceOnline Closure of Trading AccountsNSE/INSP/49055NSE
64 20-07-2021Inspection & ComplianceSegregation and Monitoring of Collateral at Client LevelNSE/INSP/49008NSE
65 16-06-2021Inspection & ComplianceSettlement of Running Account of Client's Funds lying with Trading Member (TM)NSE/INSP/48624NSE
66 09-06-2021Inspection & ComplianceMarket Access through Authorised PersonsNSE/COMP/48536NSE
67 09-06-2021Inspection & ComplianceFAQs on Margin Trading Facility (MTF)NSE/COMP/48531NSE