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SEBI Circulars :
Dec, 2014
Dec 30, 2014   Registration for the purpose of Foreign Accounts Tax Compliance Act (FATCA)
Dec 30, 2014   Single Registration for Depository Participants
Dec 18, 2014   Redressal of investor grievances through SEBI Complaints Redress System (SCORES) platform
Dec 09, 2014   Facilitating transaction in Mutual Fund schemes through the Stock Exchange Infrastructure.
Dec 01, 2014   Modification to Offer for Sale (OFS) of Shares through stock exchange mechanism
Nov, 2014
Nov 24, 2014   Conditions for issuance of Offshore Derivative Instruments under SEBI (Foreign Portfolio Investor) Regulations, 2014
Nov 12, 2014   Consolidated Account Statement (CAS) for all securities assets
Oct, 2014
Oct 22, 2014   Revision of proprietary position limits of non-bank stock brokers for currency derivatives contracts
Oct 21, 2014   Modification of client codes of non-institutional trades executed on stock exchanges (All Segments)
Oct 13, 2014   Single registration for Stock Brokers & Clearing Members
Oct 09, 2014   Clarification on Government Debt Investment Limits
Sep, 2014
Sep 29, 2014   Modification to Investor Protection Fund (IPF) / Customer Protection Fund (CPF) Guidelines
Sep 18, 2014   Establishment of Connectivity with both depositories NSDL and CDSL – Companies eligible for shifting from Trade for Trade Settlement (TFTS) to Normal Rolling Settlement
Sep 15, 2014   Corporate Governance in listed entities - Amendments to Clause 49 of the Equity Listing Agreement
Sep 15, 2014   Position Limits for Mutual Funds in 10-year Interest Rate Futures (IRF)
Sep 11, 2014   Increasing the investment bucket for anchor investor and regulations concerning the preferential issue norms
Aug, 2014
Aug 28, 2014   Information regarding Grievance Redressal Mechanism
Aug 27, 2014   Core Settlement Guarantee Fund, Default Waterfall and Stress Test
Aug 25, 2014   Formats for disclosure under Regulation 30 of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011(Regulations).
Aug 08, 2014   Expanding the framework of Offer for Sale (OFS) of Shares through stock exchange mechanism
Aug 01, 2014   Monitoring of Compliance by Stock Exchanges
Jul, 2014
Jul 24, 2014   Clarification on position limits of domestic institutional investors for currency derivatives contracts
Jul 23, 2014   Change in Government Debt Investment Limits
Jul 18, 2014   Clarification and extension of deadline with respect to circular on Guidelines on disclosures, reporting and clarifications under AIF Regulations.
Jul 04, 2014   Delivery Instruction Slip (DIS) Issuance and Processing
Jul 01, 2014   Dispatch of physical Statements to BOs having Zero Balance and Nil Transactions
Jul, 2014
Jun 30, 2014   Inter-Governmental Agreement with United States of America under Foreign Accounts Tax Compliance Act - Registration
Jun 27, 2014   Circular on extension of timeline for alignment of employee benefit schemes with the SEBI (ESOS and ESPS) Guidelines, 1999
Jun 20, 2014   Participation of FPIs in the Currency Derivatives segment and Position limits for currency derivatives contracts
Jun 20, 2014   Circular on Minimum Assets under Management (AUM) of Debt Oriented Schemes
Jun 19, 2014   Guidelines on disclosures, reporting and clarifications under AIF Regulations
Jun 17, 2014   Circular on Investments by FPIs in Non-Convertible / Redeemable preference shares or debentures of Indian Companies
Jun 17, 2014   Base Issue Size, Minimum Subscription, Retention of Over-Subscription Limit and further disclosures in the Prospectus for Public Issue of Debt securities
Jun 16, 2014   Know Your Client (KYC) requirements for Foreign Portfolio Investors (FPIs)
Jun 03, 2014   Review of the Securities Lending and Borrowing (SLB) Framework
May, 2014
May 22, 2014   Circular on Mutual Funds
May 22, 2014   Companies exclusively listed on De-recognized/Non-operational Stock Exchanges
May 16, 2014   Establishment of Connectivity with both depositories NSDL and CDSL-Companies eligible for shifting from Trade for Trade Settlement (TFTS) to Normal Rolling Settlement
May 15, 2014   Risk management framework for Foreign Portfolio Investors (FPI) under the SEBI (Foreign Portfolio Investors) Regulations, 2014
April, 2014
Apr 28, 2014   Infrastructure facilities and submission of periodic reports
Apr 23, 2014   Revised guidelines for Liquidity Enhancement Scheme in the Equity Cash and Equity Derivatives Segments
Apr 17, 2014   Corporate Governance in listed entities - Amendments to Clauses 35B and 49 of the Equity Listing Agreement
Apr 15, 2014   Establishment of Connectivity with both depositories NSDL and CDSL – Companies eligible for shifting from Trade for Trade Settlement (TFTS) to Normal Rolling Settlement
Apr 07 , 2014   Change in investment conditions / restrictions for FII/QFI investments in government debt securities
Apr 07, 2014   Margins for USD-INR contracts
Apr 02, 2014   Disclosures pertaining to Assets Under Management
March, 2014
Mar 28, 2014   Commencement of Foreign Portfolio Investor ("FPI") regime
Mar 25, 2014   Format for Auditors’ Certificate required under Clause 24(i) of the Equity Listing Agreement
Mar 24, 2014   Enhancing disclosures, investor education & awareness campaign, developing alternative distribution channels for Mutual Fund products, etc
Mar 21, 2014   Circular on Reporting of OTC Trades in Corporate Bond on Trade Reporting Platfrom of Stock Exchange
Mar 12, 2014   Anti-Money Laundering/Countering the Financing of Terrorism (AML/CFT) Obligations of Securities Market Intermediaries under the Prevention of Money-laundering Act, 2002 and Rules framed there under
Mar 11, 2014   Establishment of Connectivity with both depositories NSDL and CDSL-Companies eligible for shifting from Trade for Trade Settlement (TFTS) to Normal Rolling Settlement
Feb, 2014
Feb 14, 2014   FII/QFI investments in Commercial Papers
Feb 11, 2014   Establishment of Connectivity with both Depositories NSDL and CDSL - Companies eligible for shifting from Trade for Trade Settlement (TFTS) to Normal Rolling Settlement
Feb 11, 2014   Safeguards to avoid trading disruption in case of failure of software vendor
Feb 07, 2014   Testing of software used in or related to Trading and Risk Management
Feb 07, 2014   Guidelines for inspection of Depository Participants (DPs) by Depositories
Feb 06, 2014   Individual scrip wise price bands on non-F&O eligible scrip's in Index Derivatives
Jan, 2014
Jan 29, 2014   Change in Government Debt Investment Limits for FIIs
Jan 21, 2014   IT Governance For Depositories
Jan 20, 2014   FII Position Limits in Exchange Traded Interest Rate Futures (IRF)
Jan 08, 2014   Operational Guidelines for Designated Depository Participants
Jan 07, 2014   Delivery Instruction Slip (DIS) Issuance and Processing
Jan 07, 2014   Reporting of Trades in Securitised Debt Instruments in Trade Reporting Platforms and Clearing and Settlement of trades in Securitised Debt Instruments through Clearing Corporations
Dec, 2013
Dec 26, 2013   Know Your Client Requirements
Dec 19, 2013   Rationalization of Periodic Call Auction for Illiquid Scrips
Dec 19, 2013   Declaration and Undertaking regarding PCC, MCV or equivalent structure by FIIs
Dec 19, 2013   Deposit Requirements for members of the Debt Segment
Dec 16, 2013   Establishment of Connectivity with both depositories NSDL and CDSL-Companies eligible for shifting from Trade for Trade Settlement (TFTS) to Normal Rolling Settlement
Dec 05, 2013   Exchange Traded Cash Settled Interest Rate Futures (IRF) on 10-Year Government of India Security
Dec 04, 2013   Simplification of demat account opening process
Dec 03, 2013   Modification of Position lImits and increasing margins in the Currency Derivative Segment
Nov, 2013
Nov 29, 2013   Circular on extension of timeline for alignment of employee benefit schemes with the SEBI (ESOS and ESPS) Guidelines, 1999’
Nov 29, 2013   Circular on Infrastructure Debt Fund
Nov 28, 2013   Investments by FIIs/QFIs in Credit Enhanced Bonds
Nov 18, 2013   Compliance with the provisions of Equity Listing Agreement by listed companies-Monitoring by Stock Exchanges
Nov 06, 2013   System Audit of Stock Brokers / Trading Members
Oct, 2013
Oct 29, 2013   Issues pertaining to primary issuance of debt securities - Amendment to Simplified Debt Listing Agreement
Oct 28, 2013   Disclosure of Investor Complaints on websites of Stock Exchanges
Oct 28, 2013   Standardisation and Simplification of Procedures for Transmission of Securities
Oct 24, 2013   Listing of specified securities of small and medium enterprises on the Institutional Trading Platform in a SME Exchange without making an initial public offer.
Oct 23, 2013   General Information Document
Oct 22, 2013   Centralized Database for Corporate Bonds/ Debentures
Oct 21, 2013   Formats under SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011
Oct 18, 2013   Gold Exchange Traded Fund Scheme (Gold ETFs) and Gold Deposit Scheme (GDS) of Banks
Oct 08, 2013   Know Your Client Requirements
Oct 04, 2013   Facilitating transaction in Mutual Fund schemes through the Stock Exchange Infrastructure
Sept, 2013
Sept 30, 2013   Amendment to bye-laws of recognised stock exchanges with respect to non-compliance of certain listing conditions and adopting Standard Operating Procedure for suspension and revocation of trading of shares of listed entities for such non compliances
Sept 30, 2013   Simplification of registration requirements for Stock Brokers
Sept 26, 2013   Investor Grievance Redressal Mechanism
Sept 26, 2013   Arbitration Mechanism - Fees for Appellate Arbitration
Sept 24, 2013   Establishment of Connectivity with both depositories NSDL and CDSL-Companies eligible for shifting from Trade for Trade Settlement (TFTS) to Normal Rolling Settlement
Sept 17, 2013   Formats for filing reports in terms of regulations 15(i) and 20(j) of SEBI (Buy Back of Securities) Regulations, 1998
Sept 13, 2013   Debt Allocation Mechanism for FII/QFI - Government debt securities
Sept 12, 2013   KYC Requirements for Eligible Foreign investors
Sept 12, 2013   Risk Management Framework for Dedicated Debt Segment on Stock Exchanges
Sept 04, 2013   Circular on Principles of Financial Market Infrastructures
Sept 03, 2013   Index based market-wide circuit breaker mechanism
Aug, 2013
Aug 28, 2013   Guidelines for dealing with Conflict of Interest for investment/ trading by CRAs, Access Persons and other employees
Aug 27, 2013   General Guidelines for dealing with Conflicts of Interest of Intermediaries,Recognised Stock Exchanges, Recognised Clearing Corporations, Depositories and their Associated Persons in Securities Market
Aug 19, 2013   Testing of software used in or related to Trading and Risk Management
Aug 13, 2013   Investment by Qualified Foreign Investors (QFIs) in "to be listed" Indian Corporate Debt Securities
Aug 07, 2013   Circular for Application for change in category of the Alternative Investment Fund
July, 2013
Jul 31, 2013   Utilisation period for Government Debt Limits
Jul 30, 2013   Establishment of Connectivity with both depositories NSDL and CDSL-Companies eligible for shifting from Trade for Trade Settlement (TFTS) to Normal Rolling Settlement
Jul 29, 2013   Circular for operational, prudential and reporting requirements for Alternative Investment Funds
Jul 09, 2013   FII/QFI investments in Security Receipts
Jul 08, 2013   Modification of Position lImits and increasing margins in the Currency Derivative Segment
Jul 05, 2013   Arbitration Mechanism in Stock Exchanges - Investor Service Centres
Jul 05, 2013   Arbitration Mechanism in Stock Exchanges - Investor Service Centres
June, 2013
June 12, 2013   Enhancement in Foreign Investment limits in Government debt
June 11, 2013   Establishment of Connectivity with both depositories NSDL and CDSL-Companies eligible for shifting from Trade for Trade Settlement (TFTS) to Normal Rolling Settlement
June 05, 2013   Clarification on SEBI's Circular dated August 13, 2012 providing for the "Manner of Dealing with Audit Reports filed by Listed Companies
May, 2013
May 30, 2013   Review of the Securities Lending and Borrowing (SLB) framework
May 30, 2013   Comprehensive guidelines on Offer For Sale (OFS) of Shares by Promoters through the Stock Exchange Mechanism
May 21, 2013   Scheme of Arrangement under the Companies Act, 1956-Revised requirements for the Stock Exchanges and Listed Companies - Clarification
May 21, 2013   Broad guidelines on Algorithmic Trading
May 13, 2013   Clarification on SEBI Circular No. CIR/CFD/DIL/3/2013 dated January 17, 2013 - Amendments to SEBI (Employee Stock Option Scheme and Employee Stock Purchase Scheme) Guidelines, 1999 and Equity Listing Agreement
April, 2013
Apr 29, 2013   Establishment of Connectivity with both depositories NSDL and CDSL-Companies eligible for shifting from Trade for Trade Settlement (TFTS) to Normal Rolling Settlement
Apr 23, 2013   Circular on Infrastructure Debt Fund
Apr 17, 2013   Redress of investor grievances through SCORES
Apr 08, 2013   Establishment of Connectivity with both depositories NSDL and CDSL – Companies eligible for shifting from Trade for Trade Settlement (TFTS) to Normal Rolling Settlement
Apr 01, 2013   Rationalisation of Debt Limits
March, 2013
Mar 28, 2013   Amendment to SEBI {(Know Your Client) Registration Agency} Regulations, 2011 and relevant circulars
Mar 21, 2013   Usage of electronic payment modes for making cash payments to the investors
Mar 20, 2013   Corporate bonds and Government securities as collateral
Mar 18, 2013   Arbitration Mechanism through Stock Exchanges - Introduction of Automatic Process and Common Pool of arbitrators
Mar 18, 2013   Product Labeling in Mutual Funds
Mar 15, 2013   Sharing of information regarding issuer companies between Debenture Trustees and Credit Rating Agencies
Mar 05, 2013   Establishment of Connectivity with both depositories NSDL and CDSL-Companies eligible for shifting from Trade for Trade Settlement (TFTS) to Normal Rolling Settlement
Mar 01, 2013   Guidelines for Enabling Partial Two-Way Fungibility of Indian Depository Receipts (IDRs)
February, 2013
Feb 15, 2013   Gold Exchange Traded Fund Scheme (Gold ETFs) - Investment in Gold Deposit Scheme (GDS) of Banks
Feb 14, 2013   Introduction of Periodic Call Auction for Illiquid Scrips and Extension of Pre-Open Session to all Scrips
Feb 08, 2013   Liquidity Enhancement Schemes for Illiquid Securities in Equity Cash market
Feb 08, 2013   Increase in FII debt limit for Government and Corporate Debt category
Feb 06, 2013   Time Period for initial offering and allotment of units of Mutual Fund Scheme eligible under Rajiv Gandhi Equity Savings Scheme, 2012 (RGESS)
Feb 04, 2013   Scheme of Arrangement under the Companies Act 1956 - Revised requirements for the Stock Exchanges and Listed Companies
January, 2013
Jan 25, 2013   Comprehensive guidelines on Offer For Sale (OFS) of Shares by Promoters through the Stock Exchange Mechanism.
Jan 24, 2013   Guidelines for providing dedicated Debt Segment on Stock Exchanges
Jan 24, 2013   Guidelines on Identification of Beneficial Ownership
Jan 23, 2013   Application Supported by Blocked Amount (ASBA) facility
Jan 21, 2013   Establishment of Connectivity with both depositories NSDL and CDSL – Companies eligible for shifting from Trade for Trade Settlement (TFTS) to Normal Rolling Settlement
Jan 17, 2013   Amendments to SEBI (Employee Stock Option Scheme and Employee Stock Purchase Scheme) Guidelines, 1999 and Equity Listing Agreement
Jan 04, 2013   Rationalisation process for obtaining PAN by Investors
Jan 03, 2013   Clarification on Clause 36 of the Equity Listing Agreement
Jan 02, 2013   Application Supported by Blocked Amount (ASBA) facility in public/ rights issue
Jan 01, 2013   Debt Allocation Mechanism for FII
December, 2012
Dec 19, 2012   Requirement of Base Minimum Capital for Stock Broker and Trading Member
Dec 17, 2012   Establishment of Connectivity with both depositories NSDL and CDSL – Companies eligible for shifting from Trade for Trade Settlement (TFTS) to Normal Rolling Settlement
Dec 13, 2012   Pre-Trade Risk Controls
Dec 13, 2012   Procedural norms on Recognitions, Ownership and Governance for Stock Exchanges and Clearing Corporations
Dec 07, 2012   Oversight of Members (Stock Brokers/Trading Members/Clearing Members of any segment of Stock Exchanges/Clearing Corporations)
Dec 06, 2012   Rajiv Gandhi Equity Savings Scheme, 2012
November, 2012
Nov 27, 2012   Inventory Management for Market Makers of SME Exchange / Platform
Nov 22, 2012   Review of the Securities Lending and Borrowing (SLB) Framework
Nov 20, 2012   Mini derivative (Futures & Options) contract on Index (Sensex & Nifty)
Nov 19, 2012   Amendments to SEBI (Mutual Funds) Regulations, 1996
Nov 15, 2012   Participation of mutual funds in Credit Default Swaps (CDS) Market as Users ("Protection Buyers") and in repo, in corporate debt securities
Nov 07, 2012   Arbitration Mechanism in Stock Exchanges
Nov 07, 2012   Debt Allocation Mechanism for FII
Nov 02, 2012   Establishment of Connectivity with both depositories NSDL and CDSL – Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement
Nov 01, 2012   Modification/ Change of name in the Beneficial Owner (BO) account
October, 2012
Oct 15, 2012   General Order - SEBI (Framework For Rejection Of Draft Offer Documents) Order, 2012
Oct 04, 2012   Public issues in electronic form and use of nationwide broker network of Stock Exchanges for submitting application forms
September, 2012
Sep 26, 2012   Review of Margining with respect to Exchange Traded Funds (ETFs)
Sep 25, 2012   Application Supported by Blocked Amount (ASBA)
Sep 21, 2012   Processing of Investor complaints against KRA {KYC (Know Your Client) Registration Agency} in SEBI Complaints Redress System (SCORES)
Sep 21, 2012   Printing of Grievances Redressal Mechanism on Delivery Instruction Form Book
Sep 13, 2012   Steps to re-energise Mutual Fund Industry
Sep 13, 2012   Application Supported by Blocked Amount (ASBA) facility in public/ rights issue
Sep 11, 2012   Addendum to Circular No. CIR/MRD/DP/21/2012 dated August 2, 2012
Sep 05, 2012   Know Your Client Requirements
Sep 03, 2012   Establishment of Connectivity with both depositories NSDL and CDSL Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement
August, 2012
Aug 29, 2012   Manner of achieving minimum public shareholding requirements in terms of SCRR, 1957
Aug 28, 2012   Redemption of Indian Depository Receipts (IDRs) into Underlying Equity Shares
Aug 27, 2012   Facility for a Basic Services Demat Account (BSDA)
Aug 27, 2012   Rationalisation of sub broker surrender Process
Aug 22, 2012   Filing Offer Documents under SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009
Aug 13, 2012   Redressal of investor grievances against listed companies in SEBI Complaints Redress System (SCORES)
Aug 13, 2012   Amendment to the Equity Listing Agreement - Manner of Dealing with Audit Reports filed by Listed companies
Aug 13, 2012   Aadhaar Letter as Proof of Address for Know Your Client (KYC) norms
Aug 13, 2012   Business Responsibility Reports
Aug 02, 2012   Direct Market Access - Clarification
Aug 02, 2012   Activation of ISIN in case of additional issue of shares/ securities
July, 2012
Jul 27, 2012   System for Making Application to Public Issue of Debt Securities
Jul 25, 2012   Contents of Application Form and Abridged Prospectus for Public Issue of Debt Securities
Jul 23, 2012   Revision of Eligibility Criteria for Stocks in Derivatives Segment
Jul 20, 2012   Amendment in QFI definition and QFI investment in debt mutual fund schemes which invest in infrastructure
Jul 20, 2012   Establishment of Connectivity with both depositories NSDL and CDSL – Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement
Jul 18, 2012   Comprehensive guidelines on Offer For Sale (OFS) of Shares by Promoters through the Stock Exchange Mechanism
Jul 18, 2012   QFI Investment in Corporate Debt
Jul 16, 2012   Investment Liquid MF
Jul 13, 2012   Amendment to the Equity Listing Agreement - Platform for E-Voting by Shareholders of Listed Entities
Jul 05, 2012   Review of Regulatory Compliance and Periodic Reporting
Jul 05, 2012   Reduction of Time-line for Transfer of Equity Shares and Prescription of Time-line for Transfer of Debt Securities
June, 2012
Jun 26, 2012   FII Investment in Government debt long term and corporate debt long term infra category
Jun 22, 2012   Clarification to the “Guidelines for Business Continuity Plan (BCP) and Disaster Recovery (DR) Circular dated April 13, 2012"
Jun 15, 2012   Establishment of Connectivity with both depositories NSDL and CDSL – Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement
Jun 14, 2012   Establishment of Connectivity with both depositories NSDL and CDSL – Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement
Jun 7, 2012   Reporting of Offshore Derivative Instruments (ODIs)/ Participatory Notes (PNs) activity
Jun 7, 2012   Revision in framework for Qualified Foreign Investor (QFI) investment in Equity Shares and Mutual Fund schemes
May, 2012
May 30, 2012   Exit Policy for De-recognized/ Non-operational Stock Exchanges
May 25, 2012   Amendment to the Consent Circular dated 20th April 2007
May 23, 2012   Revised Position Limits for Trading Member (Banks) in Exchange Traded USD:INR derivative contracts
May 14, 2012   Review of Regulatory Compliance and Periodic Reporting
May 03, 2012   Filing Offer Documents under SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009
Apr, 2012
Apr 27, 2012   Auction calendar for allocation of FII debt limit
Apr 23, 2012   Establishment of Connectivity with both depositories NSDL and CDSL-Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement
Apr 16, 2012   Amendments to the Equity Listing Agreement-Formats for Disclosure of Financial Results
Apr 16, 2012   Processing of investor complaints against companies applying for listing of debt securities in SEBI SCORES system
Apr 13, 2012   Guidelines for Business Continuity Plan (BCP) and DisasterRecovery(DR)
Apr 13, 2012   Uploading of the existing clients KYC details in the KYC Registration Agency KRA system by the intermediaries
Apr 13, 2012   Processing of investor complaints against listed companies in SEBI Complaints Redress System SCORES Intimation to Stock Exchanges
Apr 12, 2012   Allocation of debt limits to FIIs
Mar, 2012
Mar 30, 2012   Broad Guidelines on Algorithmic Trading
Mar 30, 2012   Exemptions from 100 promoter s holding in demat form
Mar 29, 2012   Review of Regulatory Compliance and Periodic Reporting
Mar 12, 2012   Allocation of debt limits in corporate debt old and Government Debt long term category to FIIs
Mar 05, 2012   Clearing and Settlement of OTC trades in Commercial Paper (CPs) & Certificates of Deposit (CDs
Mar 01, 2012   Guidelines for Credit Rating Agencies
Feb, 2012
Feb 28, 2012   Circular on Mutual Funds
Feb 28, 2012   Circular on Mutual Funds
Feb 27, 2012   Offer For Sale of Shares by Promoters through the Stock Exchange Mechanism Clarification
Feb 23, 2012   Offer For Sale of Shares by Promoters through the Stock Exchange Mechanism
Feb 21, 2012   Standardized lot size for SME Exchange Platform.
Feb 17, 2012   Allocation of Corporate debt long term category to FIIs.
Feb 15, 2012   Investor Grievance Redressal Mechanism at Stock Exchanges.
Feb 09, 2012   Guidelines in respect of the disclosures to be made in the Letter of offer in respect of Buy back of securities in terms of SEBI Buy back of Securities Regulations 1998 and Format of Standard letter of offer.
Feb 08, 2012   Amendments to the Equity Listing Agreement
Feb 01, 2012   Offer For Sale of Shares by Promoters through the Stock Exchange Mechanism
Jan, 2012
Jan 25, 2012   Eligibility criteria for qualified depository participant
Jan 20, 2012   Composition of arbitration committee
Jan 20, 2012   Investor Grievance Redressal Mechanism at Stock Exchanges
Jan 20, 2012   Trade controls in Normal Trading Session for Initial Public Offering IPO and other category of scrips
Jan 20, 2012   Call Auction in Pre open session for Initial Public Offering (IPO) and other category of scrips
Jan 13, 2012   Investment by Qualified Foreign Investors (QFI) in Indian equity shares
Jan 10, 2012   Disclosure of Track Record of the public issues managed by Merchant Bankers
Jan 03, 2012   Changes in Re investment period of FII Debt Limit
Dec, 2011
Dec 30, 2011   Exchange Traded Interest Rate Futures on 2 year and 5 year Notional Coupon Bearing Government of India Security
Dec 26, 2011   Public issue of Debt Securities Prohibition on payment of incentives
Dec 23, 2011   Guidelines in pursuance of the SEBI KYC Registration Agency (KRA) Regulations, 2011 and for In Person Verification (IPV)
Dec 20, 2011   Establishment of Connectivity with both depositories NSDL and CDSL Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement
Dec 19, 2011   Review of Regulatory Compliance, Periodic Reporting and Contents of Trust Deed
Dec 15, 2011   Guidelines on Outsourcing of Activities by Intermediaries
Dec 13, 2011   Revised format of Monthly Cumulative Report (MCR) incorporating investments in Infrastructure Debt Fund
Dec 02, 2011   The Securities and Exchange Board of India KYC Registration Agency Regulations 2011
Nov, 2011
Nov 29, 2011   Annual System Audit
Nov 22, 2011   Format for submitting Draft Letter of Offer under Regulation 16 1 of SEBI SAST Regulations 2011
Nov 18, 2011   Increase in FII debt limit in Government and Corporate debt category
Nov 11, 2011   Participation of mutual funds in repo in corporate debt securities
Oct, 2011
Oct 25, 2011   In person verification IPV of clients by subsidiaries-of Stock Exchanges-acting as Stock Brokers
Oct 24, 2011   Reporting format under Regulation 11 of Securities Contracts Regulation Manner of Increasing and Maintaining Public Shareholding in Recognised Stock Exchanges Regulations 2006
Oct 20, 2011   Circular specifying the formats for disclosures under Regulation 29 1 and 2 of SEBI Substantial Acquisition of Shares and Takeovers Regulations 2011
Oct 14, 2011   Establishment of-Connectivity-with-both-depositories-NSDL-and-CDSL-Companies-eligible-for-shifting-from-Trade-for-Trade-Settlement-TFTS-to-normal-Rolling-Settlement
Oct 05, 2011   Uniform-Know-Your-Client-KYC-requirements-for-the-securities-market
Oct 05, 2011   Amendments-to-the-Equity-IDR-and-SME-Equity-Listing-Agreements
Sep, 2011
Sep 30, 2011   Clarification-on-100-promoter-holding-in-demat-form
Sep 30, 2011   Revisions-in-FII-Investments-in-corporate-debt-long-term-infra-category
Sep 28, 2011   Guidelines-for-Issue-and-Listing-of-Structured-Products-Market-Linked-Debentures
Sep 28, 2011   Filing-Offer-Documents-with-SEBI-under-SEBI-Issue-of-Capital-and-Disclosure-Requirements-Regulations-2009
Sep 27, 2011   Disclosure-of-Price-Information-of-past-issues-handled-by-Merchant-Bankers
Sep 27, 2011   Contents-of-Application-Cum-Bidding-Form-and-Manner-of-disclosure
Sep 23, 2011   Securities-and-Exchange-Board-of-India-Substantial-Acquisition-of-Shares-and-Takeovers-Regulations-2011-and-consequential-amendments-to-Clause-35-of-the-Equity-Listing-Agreement
Sep 12, 2011   Redressal-of-investor-grievances-against-Depository-Participants-DPs-in-SEBI-Complaints-Redress-System-SCORES
Sep 08, 2011   Amendments to SEBI (Mutual Funds) Regulations, 1996
Aug, 2011
Aug 26, 2011   Processing-of-Investor-Complaints-in-SEBI-Complaints-Redress-System-SCORES
Aug 26, 2011   Infrastructure-Finance-Companies-IFCs-as-eligible-issuers-for-FIIs-investment-limit-in-debt-instrument-for-infrastructure
Aug 25, 2011   Redressal-of-investor-grievances-against-stock-brokers-and-sub-brokers-in-SEBI-Complaints-Redress-System-SCORES
Aug 24, 2011   Processing-of-Investor-Complaints-in-SEBI-Complaints-Redress-System-SCORES
Aug 22, 2011   Simplification-and-Rationalization-of-Trading-Account-Opening-Process
Aug 22, 2011   Circular-for-Mutual-Funds
Aug 10, 2011   Short-collection-Non-collection-of-client-margins-Derivatives-Segments
Aug 09, 2011   Investment-by-Foreign-Investors-in-Mutual-Fund-Schemes
Aug 02, 2011   SMS-and-E-mail-alerts-to-investors-by-stock-exchanges
Aug 02, 2011   Processing-of-Investor-Complaints-in-SEBI-Complaints-Redress-System-SCORES
Aug 02, 2011   Revised-procedure-for-seeking-prior-approval-for-change-in-control-through-single-window
Aug 01, 2011   Indicative-portfolio-or-yield-in-close-ended-debt-oriented-mutual-fund-schemes
July, 2011
July 29, 2011   Allocation-of-Government-debt-long-term-limits-to-FIIs
July 18, 2011   Establishment-of-Connectivity-with-both-depositories-NSDL-and-CDSL-Companies-eligible-for-shifting-from-Trade-for-Trade-Settlement-TFTS-to-normal-Rolling-Settlement
July 11, 2011   Clarification-regarding-admission-of-Limited-Liability-Partnerships-as-members-of-Stock-Exchanges
July 05, 2011   Modification-of-Client-Codes-of-Non-institutional-Trades-Executed-on-Stock-Exchanges-All-Segments-
July 01, 2011   Establishment-of-Connectivity-with-both-depositories-NSDL-and-CDSL-Companies-eligible-for-shifting-from-Trade-for-Trade-Settlement-TFTS-to-normal-Rolling-Settlement
June, 2011
June 30, 2011   Review-of-Internet-Based-Trading-IBT-and-Securities-trading-using-Wireless-Technology-STWT-
June 20, 2011   Periodical-Report-Grant-of-prior-approval-to-Bankers-to-an-Issue
June 20, 2011   Periodical-report-Grant-of-prior-approval-to-Registrars-to-an-Issue-and-Share-Transfer-Agents
June 20, 2011   Periodical-report-Grant-of-prior-approval-to-underwriters
June 20, 2011   Periodical-Report-Grant-of-prior-approval-to-Credit-Rating-Agencies
June 17, 2011   Shareholding-of-promoter-promoter-group-to-be-in-dematerialized-mode
June 17, 2011   Periodical-report-Grant-of-prior-approval-to-Registrars-to-an-Issue-and-Share-Transfer-Agents
June 17, 2011   Periodical-report-Grant-of-prior-approval-to-underwriters
June 17, 2011   Periodical-report-Grant-of-prior-approval-to-merchant-bankers
June 16, 2011   Modification-to-Investor-Protection-Fund-IPF-Customer-Protection-Fund-CPF-Guidelines
June 16, 2011   Change-of-Name-by-Listed-Companies
June 15, 2011   Modification to Investor Protection Fund (IPF)/ Customer Protection Fund (CPF) Guidelines
June 15, 2011   Change of Name by Listed Companies
June 15, 2011   Reporting of Offshore Derivative Instruments(ODIs)/ Participatory Notes(PNs) activity
June 15, 2011   Standardisation of Rating Symbols and Definitions
June 09, 2011   Pre- funded instruments / Electronic fund transfers
June 03, 2011   Redemption of Indian Depository Receipts (IDRs) into Underlying Equity Shares
June 03, 2011   Processing of investor complaints against listed companies in SEBI Complaints Redress System - SCORES
June 03, 2011   'Periodical Report - Grant of prior approval to members of stock exchanges/sub- brokers
June 02, 2011   Liquidity enhancement schemes for illiquid securities in equity derivatives segment
May, 2011
May 19, 2011   Option to hold units in demat form
May 16, 2011   Adjustment of differential pricing amount at the time of application for allotment of specified securities
May 13, 2011   Clarification on circular dated December 3, 2009 on 'Dealings between a Client and a Stock broker Self Clearing Member in the Currency Derivatives Segment
May 12, 2011   Reporting of Offshore Derivative Instruments(ODIs)/ Participatory Notes(PNs) activity
Apr, 2011
Apr 29, 2011   Applications Supported by Blocked Amount (ASBA) facility
Apr 27, 2011   Review of Annual Issuers charges
Apr 07, 2011   Limitation period for filing an arbitration reference
Mar, 2011
Mar 31, 2011   FII Investment in corporate bonds infra long term category
Mar 29, 2011   Dissemination of further information about FII activity - Discontinuance of Reporting
Mar 24, 2011   Addendum to Circular no. Cir/ISD/1/2011 dated March 23, 2011
Mar 23, 2011   Unauthenticated news circulated by SEBI Registered Market Intermediaries through various modes of communication
Mar 22, 2011   Establishment of Connectivity with both depositories NSDL and CDSL - Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement - December 2010 and January 2011
Mar 16, 2011   Listing Agreement for Securitized Debt Instruments
Mar 09, 2011   Usage of Load Account
Mar 08, 2011   Allocation of Government debt long term and corporate debt - old investment limits to FIIs
Mar 07, 2011   Futures on 91-day Government of India Treasury-Bill
Feb, 2011
Feb 09, 2011   Arbitration mechanism of stock exchanges - Applicability of the provisions of the Limitation Act, 1963
Jan, 2011
Jan 27, 2011   Establishment of Connectivity with both depositories NSDL and CDSL - Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement
Jan 18, 2011   Addendum to the Circular No. CIR/IMD/FIIC/1/2011
Jan 17, 2011   Reporting of Offshore Derivative Instruments(ODIs)/ Participatory Notes(PNs) activity
Jan 11, 2011   Introduction of Derivative Contracts on Foreign Stock Indices
Jan 03, 2011   Modifications to client code post trade execution
Dec, 2010
Dec 28, 2010   Activity schedule for Auction Session Establishment of Connectivity with both depositories NSDL and CDSL - Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement
Dec 16, 2010   Amendments to the Equity Listing Agreement
Dec 14, 2010   Acceptance of Third Party Address as Correspondence Address
Dec 09, 2010   Circular on Smart Order Routing - Clarification
Dec 06, 2010   Half yearly report by Trustees
Dec 01, 2010   Establishment of Connectivity with both depositories NSDL and CDSL – Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement - July and August 2010
Nov, 2010
Nov 26, 2010   Allocation of Government debt and corporate debt investment limits to FIIs Circular for Mutual Funds
Nov 09, 2010   Facilitating transactions in Mutual Fund schemes through the Stock Exchange infrastructure
Nov 04, 2010   Display of Details by Stock Brokers including Trading Members
Nov 02, 2010   Portfolio Managers - Clarification on minimum investment amount etc
Nov 01, 2010   Code of Conduct for Investor Associations (IAs)
Oct, 2010
Oct 27, 2010   European Style Stock Options
Oct 26, 2010   Clarification on Trading Rules and shareholding in dematerialized mode
Oct 22, 2010   Consolidation or Merger of Schemes
Oct 14, 2010   Establishment of Connectivity with both depositories NSDL and CDSL – Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement - June 2010
Oct 13, 2010   Circular for filing Draft Offer Documents with Regional Offices of SEBI
Oct 12, 2010   Applications Supported by Blocked Amount (ASBA) facility in public issues
Oct 08, 2010   PPortfolio Managers - Monthly Report
Oct 07, 2010   Review of Securities Lending and Borrowing (SLB) Framework
Oct 05, 2010   Portfolio Managers - Regulation of fees and charges
Sep, 2010
Sep 29, 2010   Compliance with circular dated April 15, 2010
Sep 17, 2010   Clarification on Introduction of Call Auction in pre-open session
Sep 15, 2010   Establishment of Connectivity with both depositories NSDL and CDSL - Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement
Sep 06, 2010   Clarification on submission of Audit report under Regulation 55A of SEBI (Depositories and Participants) Regulations, 1996
Sep 03, 2010   Trading Rules and shareholding in dematerialized mode
Aug, 2010
Aug 31, 2010   Arbitration Mechanism in Stock Exchanges
Aug 31, 2010   Execution of Power of Attorney (PoA) by the Client in favour of the Stock Broker/ Stock Broker and Depository Participant - Clarifications
Aug 31, 2010   Execution of Power of Attorney (PoA) by the Client in favour of the Stock Broker/ Stock Broker and Depository Participant - Clarifications
Aug 27, 2010   Clarification on Introduction of Call Auction in pre-open session
Aug 27, 2010   Introduction of Smart Order Routing
Aug 27, 2010   Securities Trading using Wireless Technology
Aug 18, 2010   Review of norms for investment and disclosure by Mutual Funds in Derivatives Transferability of Mutual Fund units
Aug 12, 2010   Updation of investor related documents
Aug 11, 2010   Arbitration Mechanism in Stock Exchanges
Aug 06, 2010   Allocation of Government debt and Corporate debt investment limits to FIIs Amendment to SEBI MF Regulations, 1996
Aug 05, 2010   Establishment of Connectivity with both depositories NSDL and CDSL - Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement
July , 2010
Jul 30, 2010   Options on USD-INR Spot Rate
Jul 30, 2010   Reporting of OTC transactions in Certificates of Deposit (CDs) and Commercial Papers - CPs
Jul 29, 2010   Mandatory requirement of Permanent Account Number - PAN
Jul 28, 2010   Additional mode of payment through applications supported by blocked amount (hereinafter referred to as ASBA) in Mutual Funds
Jul 23, 2010   Market Access through Authorised Persons
Jul 15, 2010   Physical Settlement of Stock Derivatives
Jul 15, 2010   Introduction of call auction in Pre-open session
Jul 13, 2010   Applications Supported by Blocked Amount (ASBA) facility in public issues
Jul 07, 2010   Revised Exposure Margin for Exchange Traded Equity Derivatives
Jul 01, 2010   Account Maintenance Charges collected upfront on annual/ half yearly basis on demat accounts
June , 2010
Jun 29, 2010   Reporting of Lending of securities bought in the Indian Market
Jun 24, 2010   Certification programme for sale and/or distribution of mutual fund products
Jun 21, 2010   Valuation of debt and money market Instruments
June 14, 2010    Anti Money Laundering/Combating Financing of Terrorism Standards- Additional Requirements/Clarifications
June 11, 2010    Allocation of Corporate debt investment limits to FIIs
June 10, 2010    Disclosure of regulatory orders and arbitration awards on Depository website
May , 2010
May 28, 2010    Establishment of Connectivity with both depositories NSDL and CDSL - Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement
May 18, 2010    Setting up of a Stock exchange/ a trading platform by a recognized stock exchange having nationwide trading terminals for SME
May 17, 2010    Conditions of listing for issuers seeking listing on SME Exchange - Model SME Equity Listing Agreement
May 13, 2010    Disclosure of Investor Complaints with respect to Mutual Funds SEBI (Credit Rating Agencies) (Amendment) Regulations, 2010 - Gazette Notification dated March 19, 2010
May 07, 2010    Making Annual Reports of Listed Companies easily accessible.
May 04, 2010    Introduction of Index options with tenure up to 5 years
May 04, 2010    Establishment of Connectivity with both depositories NSDL and CDSL – Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement
May 03, 2010    Guidelines for Credit Rating Agencies
April , 2010
Apr 28, 2010    Margining of institutional trades in the cash market
Apr 27, 2010    Introduction of derivative contracts on Volatility Index
Apr 26, 2010    Guidelines for market makers on Small and Medium Enterprise (SME) exchange/separate platform of existing exchange having nation wide terminal
Apr 23, 2010    Execution of Power of Attorney (PoA) by the Client in favour of the Stock Broker/ Stock Broker and Depository Participant
Apr 22, 2010    Reduction in time between issue closure and listing
Apr 16, 2010    Amendments to Equity Listing Agreement - Discontinuation of Electronic Data Information Filing and Retrieval (EDIFAR) System
Apr 15, 2010    Additional information regarding PCC, MCV or equivalent structure by FIIs
Apr 09, 2010    Allocation of debt investment limits
Apr 06, 2010    Applications Supported by Blocked Amount (ASBA) facility in public issues
Apr 05, 2010    Listing Conditions-Amendments to the Equity Listing Agreement
Apr 01, 2010    Allotment of Code to United Stock Exchange of India Limited
March , 2010
Mar 31, 2010    Clarification on dealings between a client and a stock broker
Mar 29, 2010    Establishment of Connectivity with both depositories NSDL and CDSL - Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement
Mar 15, 2010    Circular for Mutual Funds
Half Yearly Reporting by Portfolio Managers
Mar 05, 2010    Disclosure of details of the allottees in the Qualified Institutional Placements (QIP) made by issuer company
February , 2010
Feb 22, 2010    Establishment of Connectivity with both depositories NSDL and CDSL - Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement
Feb 10, 2010    Committee for review of ownership and governance of market infrastructure institutions
Feb 04, 2010    Standard warning in Advertisements by Mutual Funds
Feb 02, 2010    Valuation of Debt and Money Market Instruments
January , 2010
Jan 29, 2010    Disclosure of investor complaints and arbitration details on Depository website
Jan 21, 2010    Requirement of Fee Clearance and NOC - Non applicability in respect of certain category of members of stock exchanges
Jan 19, 2010    Currency Futures on Additional Currency pairs
Jan 18, 2010    Advertisement by mutual funds.
Mandatory requirement of 'In-person' verification of clients
Jan 12, 2010    Revised quarterly reporting format for Foreign Venture Capital Investors
Jan 11, 2010    Market Wide Position Limits across Stock Exchanges
Revised quarterly reporting format for Venture Capital Funds
Jan 08, 2010    Standardized lot size for derivative contracts on individual securities
Jan 07, 2010    PAN requirement for transmission of shares in physical form
Simplified Debt Listing Agreement for Debt Securities - Amendments
Simplified Listing Agreement for Debt Securities – As Amended till January 07, 2010
Jan 06, 2010    Establishment of Connectivity with both depositories NSDL and CDSL - Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement
Internal Audit for Credit Rating Agencies (CRAs)
Review of Securities Lending and Borrowing (SLB) Framework

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