Stock Broking companies in India, Share Brokers in India | Online Broking Firms Mumbai | Prabhudas Lilladher
S.NoDateDepartmentSubjectDownload Ref. No.Exchange
1 28-03-2024Inspection & Compliance Restriction on use of certain words by Trading Members/Authorized Persons in their nameNSE/COMP/61367NSE
2 28-03-2024Inspection & ComplianceEmpanelment of Back office vendorsNSE/COMP/61375NSE
3 28-03-2024Inspection & ComplianceReporting for Artificial Intelligence (AI) and Machine Learning (ML) applications and systems offered and used by market intermediaries20240328-23BSE
4 27-03-2024Inspection & ComplianceOnline Reporting of Technical Glitch IncidentsNSE/COMP/61323NSE
5 27-03-2024Inspection & ComplianceSubmission of Half Yearly Net worth Certificate as on March 31, 2024NSE/COMP/61335NSE
6 27-03-2024DepositoryImplementation Of Two Factor Authentication For Accessing Audit web PortalCDSL/AUDIT/DP/POLCY/2024/171CDSL
7 26-03-2024Inspection & ComplianceMembership Compliance – Revision/Updates to the Ongoing Membership CompliancesNCL/CMPL/61314NSE
8 22-03-2024Inspection & ComplianceSubmission of Half Yearly Internal Audit Report by Clearing MembersNCL/CMPL/61288NSE, BSE
9 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
10 21-03-2024Inspection & ComplianceSubmission of VAPT Compliance Report for the FY 2023-24NSE/INSP/61250NSE
11 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
12 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
13 19-03-2024Inspection & ComplianceSegregation and Monitoring of Collateral at Client Level- Reporting FormatNCL/CMPL/61186NSE
14 18-03-2024Inspection & ComplianceSegregation and Monitoring of Collateral at Client Level- Reporting FormatNCL/CMPL/61186NSE, BSE, MCX
15 15-03-2024Inspection & ComplianceAnnual Calendar and Operational Guidelines for Settlement of Running Account of clients' funds lying with the Trading MembersNSE/INSP/61164NSE
16 13-03-2024Inspection & ComplianceDiscontinuation of Reporting of Client Level Cash and Cash Equivalent BalancesNSE/INSP/61121NSE, BSE
17 13-03-2024Inspection & ComplianceChange in PAN Verification Mechanism MCX/S&I/142/2024MCX
18 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
19 04-03-2024Inspection & ComplianceFramework for Empanelment of Auditors for conducting Internal Audit of Trading MembersNSE/INSP/60986NSE, BSE, MCX
20 26-02-2024Inspection & ComplianceAnnual Maintenance Charges towards Authorised PersonsNSE/COMP/60859NSE
21 23-02-2024Inspection & ComplianceOperation of Trading TerminalsNSE/COMP/60832NSE
22 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
23 15-02-2024Inspection & ComplianceAadhaar seeding with PAN - Non Resident Indian (NRI) ClientsNSE/ISC/60731NSE
24 15-02-2024DepositoryReporting Of Cyber IncidentsCDSL/A,I&C/DP/POLCY/2024/96CDSL
25 13-02-2024SEBISEBI cautions public against dealing with unregistered entitiesPR No.02/2024SEBI
26 12-02-2024Inspection & ComplianceIntroduction of Digital representation of Penalty Review RequestsNCL/CMPL/60651NSE
27 07-02-2024Inspection & ComplianceGuidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011NSE/ISC/60600NSE
28 05-02-2024Inspection & ComplianceFacility for viewing of penalties at NCLNCL/CMPL/60552NSE
29 29-01-2024DepositoryNew Status And Sub-Status For Demat AccountsCDSL/OPS/DP/SYSTM/2024/64CDSL
30 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
31 19-01-2024Inspection & CompliancePerformance/return claimed by unregulated platforms offering algorithmic strategies for tradingNSE/COMP/60341NSE
32 19-01-2024Inspection & ComplianceUpstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs)20240119-30BSE
33 17-01-2024Inspection & ComplianceOnline Registration of Trading MembersNSE/COMP/60295NSE
34 16-01-2024Inspection & ComplianceCautionary Messages on Trading Terminal - UpdateNSE/SURV/60281NSE
35 16-01-2024Inspection & ComplianceDiscontinuation of Submission of data towards Monitoring of client funds under Enhanced SupervisionNSE/INSP/60283NSE
36 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
37 12-01-2024SEBIEase of doing business- Changes in reportingSEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2024/03SEBI
38 05-01-2024Inspection & Compliance Most Important Terms and Conditions (MITC)NSE/INSP/60147NSE
39 05-01-2024SEBIFramework for Short SellingSEBI/HO/MRD/MRD-PoD-3/P/CIR/2024/1SEBI
40 04-01-2024Inspection & ComplianceCentralized Mechanism for reporting the demise of an investor through KRAs - SOPNSE/ISC/60115NSE
41 01-01-2024Inspection & ComplianceSegregation and Monitoring of Collateral at Client Level (Additional Reason codes for UPI Clients)20240101-13BSE
42 29-12-2023Inspection & ComplianceRelease of Collaterals on Date of Settlement of Running Account of Client’s FundsMCX/MCXCCL/945/2023MCX
43 26-12-2023Inspection & ComplianceFramework to address the 'technical glitches' in Member's Electronic Trading SystemsNSE/COMP/54876NSE
44 23-12-2023Inspection & ComplianceUniform penalty structure for Clearing MembersNCL/CMPL/59930NSE
45 18-12-2023Inspection & ComplianceAdministrative actions for terminal(s) not found at the reported location(s)NSE/INSP/59809NSE
46 23-10-2023Inspection & ComplianceGuidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011NSE/ISC/59051NSE
47 02-09-2023Inspection & ComplianceGuidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011NSE/ISC/58200NSE
48 29-08-2023Inspection & ComplianceFAQ on Upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs)NSE/INSP/58146 NSE
49 29-08-2023Inspection & ComplianceFAQ on Upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs)20230829-72BSE
50 24-08-2023Inspection & ComplianceNomination for Eligible Trading and Demat AccountsNSE/ISC/58079NSE
51 24-08-2023Inspection & ComplianceNomination for Eligible Trading and Demat Accounts20230824-61BSE
52 19-08-2023Inspection & ComplianceValidation of Email ID/Mobile number in KYC20230819-6BSE
53 18-08-2023Inspection & ComplianceGuidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011NSE/ISC/58027NSE
54 18-08-2023Inspection & ComplianceGuidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 201120230818-44BSE
55 12-08-2023Inspection & ComplianceFAQ on Upstreaming of clients’ funds by Stockbrokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs)20230812-1BSE
56 11-08-2023Inspection & ComplianceFAQ on Upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs)NSE/INSP/57959NSE
57 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
58 31-07-2023SEBI Online Resolution of Disputes in the Indian Securities MarketSEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/131SEBI
59 23-06-2023ComplianceMapping of Unique Client Code (UCC) with demat account of the clients20230623-58BSE
60 23-06-2023Inspection & ComplianceReporting of Bank Account & Demat AccountNSE/INSP/57266NSE
61 23-06-2023SEBITrading supported by Blocked Amount in Secondary MarketSEBI/HO/MRD/MRD-PoD-2/P/CIR/2023/99SEBI
62 21-06-2023SEBITrading Preferences by ClientsSEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/95SEBI
63 19-06-2023Settlement/RMSAdditional Exposure Margin on Securities under MWPL20230619-10BSE
64 14-06-2023Inspection & ComplianceGuidelines/clarifications on Margin collection & reportingNSE/INSP/57112NSE
65 14-06-2023Inspection & ComplianceRisk disclosure with respect to trading by individual traders in Equity Futures & Options Segment.NSE/INSP/57111NSE
66 12-06-2023NSE Clearing - Capital MarketDiscontinuation of acceptance of securities as collateral through approved custodiansNCL/CMPT/57048NSE
67 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
68 02-06-2023Inspection & ComplianceMarket Access through Authorised PersonsNSE/COMP/56947NSE
69 31-05-2023Inspection & ComplianceCorrigendum - FAQ for Reporting of Bank Guarantees (BGs) created out of clients' fundsNCL/CMPL/56900NSE
70 30-05-2023Settlement/RMSSegregation and Monitoring of Collateral at Client Level- Reporting20230530-47BSE
71 22-05-2023NSE Clearing - Capital MarketClarification on Collateral reporting against Short Allocation of CollateralsNCL/CMPT/56785NSE
72 22-05-2023Member Service DepartmentOperation of Trading TerminalsNSE/MSD/56778NSE
73 22-05-2023Inspection & CompliancePenalty Provisions for trading terminals without having valid certificationNSE/INSP/56784NSE
74 19-05-2023Inspection & ComplianceReporting of Bank Guarantees (BGs) created out of clients' fundsNCL/CMPL/56762NSE
75 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
76 18-05-2023Surveillance & InvestigationModification of Client Codes (All Segments) - Delivery versus Payment (DVP) ReportingNSE/INVG/56755NSE
77 16-05-2023Legal, ISC & ArbitrationNomination for Eligible Trading and Demat AccountsNSE/ISC/56728NSE
78 05-05-2023Inspection & ComplianceDaily reporting of Short-collection/Non-collection of client marginNCL/CMPL/56624NSE
79 27-04-2023Settlement/RMSSegregation and Monitoring of Collateral at Client Level - Penalty mechanism for Short Allocation20230427-28BSE
80 26-04-2023Inspection & ComplianceGuidelines/clarification on Margin collection & reportingNSE/INSP/56512NSE
81 26-04-2023Legal, ISC & ArbitrationFramework for automated deactivation of trading and demat accounts in cases of inadequate KYCsNSE/ISC/56507NSE
82 25-04-2023Inspection & ComplianceBank Guarantees (BGs) created out of clients’ fundsNSE/INSP/56489NSE
83 21-04-2023Legal, ISC & ArbitrationGuidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011NSE/ISC/56457NSE
84 17-04-2023Surveillance & InvestigationModification of Client Codes (All Segments) - UpdateNSE/INVG/56395NSE
85 28-03-2023Legal, ISC & ArbitrationAadhar seeding with PANNSE/ISC/56173NSE
86 28-03-2023Legal, ISC & ArbitrationNomination for Eligible Trading and Demat Accounts - Extension of timelines for existing account holdersNSE/ISC/56153NSE
87 27-03-2023ComplianceSettlement of Running Account of Client’s Funds lying with Trading Member - TM20230327-70BSE
88 24-03-2023Inspection & ComplianceTRAI - Guidelines to curb spam SMSes and misuse of Headers and Content Templates by unauthorized Telemarketers (UTMs)NSE/COMP/56114NSE
89 17-03-2023Inspection & ComplianceRestriction on use of certain words by Trading Members/Authorized Person in their Person NSE/COMP/56041NSE
90 22-02-2023Inspection & ComplianceRestriction on use of certain words by Trading Member/Authorized Person in their nameNSE/COMP/55716NSE
91 20-02-2023Futures & OptionsPenalty for intraday short allocation of collateralsNCL/CMPT/55689NSE
92 15-02-2023SEBIMaintenance of a website by stock brokers and depository participantsSEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/30SEBI
93 06-02-2023Post TradeAPI based facility for Collateral and Margin details20230206-53BSE
94 02-02-2023Legal, ISC & ArbitrationNomination for Eligible Trading and Demat Accounts NSE/ISC/55473 NSE
95 02-02-2023Inspection & ComplianceRevised Code of Advertisement for Stock BrokersNSE/COMP/55482NSE
96 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
97 27-01-2023Membership and ComplianceClarification on Margin collection & reportingMCX/INSP/303/2022MCX
98 27-01-2023Post TradeT+1 Settlement Number and Funds settlement in equity cash segment20230127-9BSE
99 27-01-2023Futures & OptionsPre-Trade risk controls - Limit Price Protection - UpdateNSE/FAOP/55396 NSE
100 27-01-2023NSE Clearing - Capital MarketMaintaining Capital Cushion NCL/CMPT/55394NSE
101 27-01-2023Inspection & ComplianceDisplay of Details of Client Bank Accounts on WebsiteNSE/INSP/55402 NSE
102 27-01-2023Finance & AccountsExcess STT retained NSE/FATAX/55386NSE
103 27-01-2023Inspection & ComplianceEarly Pay-in of fundsNSE/INSP/55401NSE
104 25-01-2023NSE Clearing - Capital MarketShort Allocation of CollateralsNCL/CMPT/55381NSE
105 25-01-2023Surveillance & InvestigationClient due diligenceNSE/INVG/55347NSE
106 25-01-2023Inspection & ComplianceApplication Programming Interface (API) for daily submission of Holding Statement and Bank BalancesNSE/INSP/55380NSE
107 20-01-2023Post TradeSegregation and Monitoring of Collateral at Client Level- Update20230120-19BSE
108 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
109 05-01-2023Inspection & ComplianceReporting requirement on Settlement of Running Account of Clients’ Funds lying with Trading MemberNSE/INSP/55135NSE
110 05-01-2023Inspection & ComplianceEncouraging more retail investors to participate in voting on motions moved by Listed CompaniesNSE/COMP/55151NSE
111 28-12-2022Inspection & ComplianceApplication Programming Interface (API) for daily submissions of Holding Statement and Bank BalancesNSE/INSP/55039NSE
112 28-12-2022Inspection & ComplianceReporting requirement on Settlement of Running Account of Clients’ Funds lying with Trading Member ™NSE/INSP/55024NSE
113 26-12-2022Inspection & ComplianceMarket Data Broadcasts Advisory and Member GuideNSE/COMP/54765NSE
114 07-12-2022Inspection & ComplianceDisplay of Brokerage, Statutory & Regulatory LeviesNSE/INSP/54746NSE
115 02-12-2022Inspection & ComplianceEmpanelment of Backoffice vendorsNSE/COMP/54706NSE
116 25-11-2022Inspection & ComplianceGuidelines on Compliance OfficersNSE/COMP/54600NSE
117 25-11-2022Inspection & ComplianceExtension of timelines for implementation of SEBI circularsNSE/INSP/54618NSE
118 11-11-2022Inspection & ComplianceHandling of Clients’ Securities by Trading Members(TM) / Clearing Members (CM)NSE/INSP/54390NSE
119 04-11-2022Membership ComplianceGuidelines to determine celebrity status for the purpose of issuing advertisements20221104-34BSE
120 25-10-2022Surveillance & InvestigationCaution towards dealing with Unsolicited Messages/Videos/any other reference NSE/INVG/54196NSE
121 28-09-2022Inspection & ComplianceSegregation and Monitoring of Collateral at Client Level- PenaltyNCL/CMPL/53867NSE
122 23-09-2022Inspection & ComplianceFAQ on Settlement of Running Account of Client’s Funds lying with Trading Member ™NSE/INSP/53820NSE
123 22-09-2022Inspection & ComplianceClarification to the Rule 8(1)(f) and 8(3)(f) of Securities Contracts (Regulation) Rules, 1957NSE/COMP/53802NSE
124 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
125 07-09-2022Inspection & CompliancePerformance/return claimed by unregulated platforms offering algorithmic strategies for tradingNSE/COMP/53555NSE
126 06-09-2022MCXCCLAlternate Risk Management Framework Applicable in case of Near Zero and Negative PricesMCX/MCXCCL/516/2022MCX
127 02-09-2022Inspection & ComplianceEnforcement actions against the Trading MembersNSE/INSP/53530NSE
128 30-08-2022Legal, ISC & ArbitrationFramework for automated deactivation of trading and demat accounts in cases of inadequate KYCsNSE/ISC/53482NSE
129 22-08-2022NSE Clearing - Capital MarketSEBI circular on Block Mechanism in demat account of clients undertaking sale transactionsNCL/CMPT/53386NSE
130 19-08-2022Post TradeSegregation and Monitoring of Collateral at Client Level - Penalty mechanism for EOD Short Allocation20220819-5BSE
131 12-08-2022Inspection & ComplianceClarification on the Brokerage, Statutory & Regulatory LeviesNSE/INSP/53297NSE
132 08-08-2022Legal, ISC & ArbitrationAdherence to KYC requirementsNSE/ISC/53233NSE
133 01-08-2022Inspection & ComplianceUnique Device Identifier for orders placed through Internet Based Trading (IBT) and Securities trading using Wireless Technology (STWT)NSE/COMP/53164NSE
134 15-07-2022Futures & OptionsReport for EOD short allocation of collateralNCL/CMPT/52987NSE
135 06-07-2022Inspection & CompliancePrecautions for clients dealing in OptionsNSE/INSP/52900NSE
136 04-07-2022Currency DerivativesUCC and PAN verification NSE/CD/52850NSE
137 24-06-2022Legal, ISC & ArbitrationInvestor Grievance Redressal MechanismNSE/ISC/52728NSE
138 23-06-2022Inspection & ComplianceGuidelines/clarifications on Margin collection & reportingNSE/INSP/52711NSE
139 14-06-2022Inspection & ComplianceImplementation of Two Factor AuthenticationNSE/COMP/52623NSE
140 07-06-2022Inspection & Compliance Issuance of Electronic Contract Notes (ECN) through SMS/electronic instant messaging servicesNSE/INSP/52604NSE
141 24-05-2022 Membership and Compliance Clarification on Margin collection & reportingMCX/INSP/303/2022MCX
142 31-03-2022Inspection & ComplianceSettlement of Running Account of Client's Funds lying with Trading Member (TM)NSE/INSP/51830NSE
143 25-03-2022Inspection & ComplianceRevision in Contract Note FormatNSE/INSP/51772NSE
144 25-03-2022Inspection & ComplianceUnauthorised Market Practices by Trading MembersNSE/INSP/51770NSE
145 24-02-2022Inspection & ComplianceNomination for Eligible Trading and Demat Accounts - Extension of timelines and relaxations for existing account holdersNSE/INSP/51438NSE
146 24-02-2022Inspection & ComplianceSegregation and Monitoring of Collateral at Client Level - Extension of timelineNSE/INSP/51437NSE
147 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
148 13-12-2021Inspection & ComplianceApproved user/ PersonsNSE/COMP/50576NSE
149 21-10-2021Inspection & ComplianceMarket Access through Authorised PersonsNSE/COMP/50030NSE
150 12-10-2021Inspection & ComplianceGuidelines/clarification on Margin collection and reportingNSE/INSP/49929NSE
151 27-09-2021Inspection & ComplianceTreatment of Inactive Trading AccountNSE/INSP/49743NSE
152 03-09-2021Inspection & ComplianceReporting of clients mapped to Authorised Persons (AP)NSE/COMP/49509NSE
153 31-08-2021Inspection & ComplianceFAQ on Settlement of Running Account of Client's Funds lying with Trading Member (TM)NSE/INSP/49458NSE
154 17-08-2021Inspection & ComplianceOnline Closure of Trading AccountsNSE/INSP/49323NSE
155 26-07-2021Inspection & ComplianceOnline Closure of Trading AccountsNSE/INSP/49055NSE
156 20-07-2021Inspection & ComplianceSegregation and Monitoring of Collateral at Client LevelNSE/INSP/49008NSE
157 16-06-2021Inspection & ComplianceSettlement of Running Account of Client's Funds lying with Trading Member (TM)NSE/INSP/48624NSE
158 09-06-2021Inspection & ComplianceMarket Access through Authorised PersonsNSE/COMP/48536NSE
159 09-06-2021Inspection & ComplianceFAQs on Margin Trading Facility (MTF)NSE/COMP/48531NSE