Stock Broking companies in India, Share Brokers in India | Online Broking Firms Mumbai | Prabhudas Lilladher
S.NoDateDepartmentSubjectDownload Ref. No.Exchange
1 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
2 31-07-2023SEBI Online Resolution of Disputes in the Indian Securities MarketSEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/131SEBI
3 23-06-2023Inspection & ComplianceReporting of Bank Account & Demat AccountNSE/INSP/57266NSE
4 23-06-2023SEBITrading supported by Blocked Amount in Secondary MarketSEBI/HO/MRD/MRD-PoD-2/P/CIR/2023/99SEBI
5 23-06-2023ComplianceMapping of Unique Client Code (UCC) with demat account of the clients20230623-58BSE
6 21-06-2023SEBITrading Preferences by ClientsSEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/95SEBI
7 19-06-2023Settlement/RMSAdditional Exposure Margin on Securities under MWPL20230619-10BSE
8 14-06-2023Inspection & ComplianceGuidelines/clarifications on Margin collection & reportingNSE/INSP/57112NSE
9 14-06-2023Inspection & ComplianceRisk disclosure with respect to trading by individual traders in Equity Futures & Options Segment.NSE/INSP/57111NSE
10 12-06-2023NSE Clearing - Capital MarketDiscontinuation of acceptance of securities as collateral through approved custodiansNCL/CMPT/57048NSE
11 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
12 02-06-2023Inspection & ComplianceMarket Access through Authorised PersonsNSE/COMP/56947NSE
13 31-05-2023Inspection & ComplianceCorrigendum - FAQ for Reporting of Bank Guarantees (BGs) created out of clients' fundsNCL/CMPL/56900NSE
14 30-05-2023Settlement/RMSSegregation and Monitoring of Collateral at Client Level- Reporting20230530-47BSE
15 22-05-2023NSE Clearing - Capital MarketClarification on Collateral reporting against Short Allocation of CollateralsNCL/CMPT/56785NSE
16 22-05-2023Member Service DepartmentOperation of Trading TerminalsNSE/MSD/56778NSE
17 22-05-2023Inspection & CompliancePenalty Provisions for trading terminals without having valid certificationNSE/INSP/56784NSE
18 19-05-2023Inspection & ComplianceReporting of Bank Guarantees (BGs) created out of clients' fundsNCL/CMPL/56762NSE
19 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
20 18-05-2023Surveillance & InvestigationModification of Client Codes (All Segments) - Delivery versus Payment (DVP) ReportingNSE/INVG/56755NSE
21 16-05-2023Legal, ISC & ArbitrationNomination for Eligible Trading and Demat AccountsNSE/ISC/56728NSE
22 05-05-2023Inspection & ComplianceDaily reporting of Short-collection/Non-collection of client marginNCL/CMPL/56624NSE
23 27-04-2023Settlement/RMSSegregation and Monitoring of Collateral at Client Level - Penalty mechanism for Short Allocation20230427-28BSE
24 26-04-2023Inspection & ComplianceGuidelines/clarification on Margin collection & reportingNSE/INSP/56512NSE
25 26-04-2023Legal, ISC & ArbitrationFramework for automated deactivation of trading and demat accounts in cases of inadequate KYCsNSE/ISC/56507NSE
26 25-04-2023Inspection & ComplianceBank Guarantees (BGs) created out of clients’ fundsNSE/INSP/56489NSE
27 21-04-2023Legal, ISC & ArbitrationGuidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011NSE/ISC/56457NSE
28 17-04-2023Surveillance & InvestigationModification of Client Codes (All Segments) - UpdateNSE/INVG/56395NSE
29 28-03-2023Legal, ISC & ArbitrationAadhar seeding with PANNSE/ISC/56173NSE
30 28-03-2023Legal, ISC & ArbitrationNomination for Eligible Trading and Demat Accounts - Extension of timelines for existing account holdersNSE/ISC/56153NSE
31 27-03-2023ComplianceSettlement of Running Account of Client’s Funds lying with Trading Member - TM20230327-70BSE
32 24-03-2023Inspection & ComplianceTRAI - Guidelines to curb spam SMSes and misuse of Headers and Content Templates by unauthorized Telemarketers (UTMs)NSE/COMP/56114NSE
33 17-03-2023Inspection & ComplianceRestriction on use of certain words by Trading Members/Authorized Person in their Person NSE/COMP/56041NSE
34 22-02-2023Inspection & ComplianceRestriction on use of certain words by Trading Member/Authorized Person in their nameNSE/COMP/55716NSE
35 20-02-2023Futures & OptionsPenalty for intraday short allocation of collateralsNCL/CMPT/55689NSE
36 15-02-2023SEBIMaintenance of a website by stock brokers and depository participantsSEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/30SEBI
37 06-02-2023Post TradeAPI based facility for Collateral and Margin details20230206-53BSE
38 02-02-2023Legal, ISC & ArbitrationNomination for Eligible Trading and Demat Accounts NSE/ISC/55473 NSE
39 02-02-2023Inspection & ComplianceRevised Code of Advertisement for Stock BrokersNSE/COMP/55482NSE
40 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
41 27-01-2023Membership and ComplianceClarification on Margin collection & reportingMCX/INSP/303/2022MCX
42 27-01-2023Post TradeT+1 Settlement Number and Funds settlement in equity cash segment20230127-9BSE
43 27-01-2023Futures & OptionsPre-Trade risk controls - Limit Price Protection - UpdateNSE/FAOP/55396 NSE
44 27-01-2023NSE Clearing - Capital MarketMaintaining Capital Cushion NCL/CMPT/55394NSE
45 27-01-2023Inspection & ComplianceDisplay of Details of Client Bank Accounts on WebsiteNSE/INSP/55402 NSE
46 27-01-2023Finance & AccountsExcess STT retained NSE/FATAX/55386NSE
47 27-01-2023Inspection & ComplianceEarly Pay-in of fundsNSE/INSP/55401NSE
48 25-01-2023NSE Clearing - Capital MarketShort Allocation of CollateralsNCL/CMPT/55381NSE
49 25-01-2023Surveillance & InvestigationClient due diligenceNSE/INVG/55347NSE
50 25-01-2023Inspection & ComplianceApplication Programming Interface (API) for daily submission of Holding Statement and Bank BalancesNSE/INSP/55380NSE
51 20-01-2023Post TradeSegregation and Monitoring of Collateral at Client Level- Update20230120-19BSE
52 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
53 05-01-2023Inspection & ComplianceReporting requirement on Settlement of Running Account of Clients’ Funds lying with Trading MemberNSE/INSP/55135NSE
54 05-01-2023Inspection & ComplianceEncouraging more retail investors to participate in voting on motions moved by Listed CompaniesNSE/COMP/55151NSE
55 28-12-2022Inspection & ComplianceApplication Programming Interface (API) for daily submissions of Holding Statement and Bank BalancesNSE/INSP/55039NSE
56 28-12-2022Inspection & ComplianceReporting requirement on Settlement of Running Account of Clients’ Funds lying with Trading Member ™NSE/INSP/55024NSE
57 26-12-2022Inspection & ComplianceMarket Data Broadcasts Advisory and Member GuideNSE/COMP/54765NSE
58 07-12-2022Inspection & ComplianceDisplay of Brokerage, Statutory & Regulatory LeviesNSE/INSP/54746NSE
59 02-12-2022Inspection & ComplianceEmpanelment of Backoffice vendorsNSE/COMP/54706NSE
60 25-11-2022Inspection & ComplianceGuidelines on Compliance OfficersNSE/COMP/54600NSE
61 25-11-2022Inspection & ComplianceExtension of timelines for implementation of SEBI circularsNSE/INSP/54618NSE
62 11-11-2022Inspection & ComplianceHandling of Clients’ Securities by Trading Members(TM) / Clearing Members (CM)NSE/INSP/54390NSE
63 04-11-2022Membership ComplianceGuidelines to determine celebrity status for the purpose of issuing advertisements20221104-34BSE
64 25-10-2022Surveillance & InvestigationCaution towards dealing with Unsolicited Messages/Videos/any other reference NSE/INVG/54196NSE
65 28-09-2022Inspection & ComplianceSegregation and Monitoring of Collateral at Client Level- PenaltyNCL/CMPL/53867NSE
66 23-09-2022Inspection & ComplianceFAQ on Settlement of Running Account of Client’s Funds lying with Trading Member ™NSE/INSP/53820NSE
67 22-09-2022Inspection & ComplianceClarification to the Rule 8(1)(f) and 8(3)(f) of Securities Contracts (Regulation) Rules, 1957NSE/COMP/53802NSE
68 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
69 07-09-2022Inspection & CompliancePerformance/return claimed by unregulated platforms offering algorithmic strategies for tradingNSE/COMP/53555NSE
70 06-09-2022MCXCCLAlternate Risk Management Framework Applicable in case of Near Zero and Negative PricesMCX/MCXCCL/516/2022MCX
71 02-09-2022Inspection & ComplianceEnforcement actions against the Trading MembersNSE/INSP/53530NSE
72 30-08-2022Legal, ISC & ArbitrationFramework for automated deactivation of trading and demat accounts in cases of inadequate KYCsNSE/ISC/53482NSE
73 22-08-2022NSE Clearing - Capital MarketSEBI circular on Block Mechanism in demat account of clients undertaking sale transactionsNCL/CMPT/53386NSE
74 19-08-2022Post TradeSegregation and Monitoring of Collateral at Client Level - Penalty mechanism for EOD Short Allocation20220819-5BSE
75 12-08-2022Inspection & ComplianceClarification on the Brokerage, Statutory & Regulatory LeviesNSE/INSP/53297NSE
76 08-08-2022Legal, ISC & ArbitrationAdherence to KYC requirementsNSE/ISC/53233NSE
77 01-08-2022Inspection & ComplianceUnique Device Identifier for orders placed through Internet Based Trading (IBT) and Securities trading using Wireless Technology (STWT)NSE/COMP/53164NSE
78 15-07-2022Futures & OptionsReport for EOD short allocation of collateralNCL/CMPT/52987NSE
79 06-07-2022Inspection & CompliancePrecautions for clients dealing in OptionsNSE/INSP/52900NSE
80 04-07-2022Currency DerivativesUCC and PAN verification NSE/CD/52850NSE
81 24-06-2022Legal, ISC & ArbitrationInvestor Grievance Redressal MechanismNSE/ISC/52728NSE
82 23-06-2022Inspection & ComplianceGuidelines/clarifications on Margin collection & reportingNSE/INSP/52711NSE
83 14-06-2022Inspection & ComplianceImplementation of Two Factor AuthenticationNSE/COMP/52623NSE
84 07-06-2022Inspection & Compliance Issuance of Electronic Contract Notes (ECN) through SMS/electronic instant messaging servicesNSE/INSP/52604NSE
85 24-05-2022 Membership and Compliance Clarification on Margin collection & reportingMCX/INSP/303/2022MCX
86 31-03-2022Inspection & ComplianceSettlement of Running Account of Client's Funds lying with Trading Member (TM)NSE/INSP/51830NSE
87 25-03-2022Inspection & ComplianceRevision in Contract Note FormatNSE/INSP/51772NSE
88 25-03-2022Inspection & ComplianceUnauthorised Market Practices by Trading MembersNSE/INSP/51770NSE
89 24-02-2022Inspection & ComplianceNomination for Eligible Trading and Demat Accounts - Extension of timelines and relaxations for existing account holdersNSE/INSP/51438NSE
90 24-02-2022Inspection & ComplianceSegregation and Monitoring of Collateral at Client Level - Extension of timelineNSE/INSP/51437NSE
91 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
92 13-12-2021Inspection & ComplianceApproved user/ PersonsNSE/COMP/50576NSE
93 21-10-2021Inspection & ComplianceMarket Access through Authorised PersonsNSE/COMP/50030NSE
94 12-10-2021Inspection & ComplianceGuidelines/clarification on Margin collection and reportingNSE/INSP/49929NSE
95 27-09-2021Inspection & ComplianceTreatment of Inactive Trading AccountNSE/INSP/49743NSE
96 03-09-2021Inspection & ComplianceReporting of clients mapped to Authorised Persons (AP)NSE/COMP/49509NSE
97 31-08-2021Inspection & ComplianceFAQ on Settlement of Running Account of Client's Funds lying with Trading Member (TM)NSE/INSP/49458NSE
98 17-08-2021Inspection & ComplianceOnline Closure of Trading AccountsNSE/INSP/49323NSE
99 26-07-2021Inspection & ComplianceOnline Closure of Trading AccountsNSE/INSP/49055NSE
100 20-07-2021Inspection & ComplianceSegregation and Monitoring of Collateral at Client LevelNSE/INSP/49008NSE
101 16-06-2021Inspection & ComplianceSettlement of Running Account of Client's Funds lying with Trading Member (TM)NSE/INSP/48624NSE
102 09-06-2021Inspection & ComplianceMarket Access through Authorised PersonsNSE/COMP/48536NSE
103 09-06-2021Inspection & ComplianceFAQs on Margin Trading Facility (MTF)NSE/COMP/48531NSE