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ch 7 securities law and regulations

ch 7 securities law and regulations

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Published by: PUTTU GURU PRASAD SENGUNTHA MUDALIAR on Mar 03, 2009
Copyright:Attribution Non-commercial

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02/01/2013

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Securities Law and
Regulation
PUTTU GURU PRASAD
INC GUNTUR
Market Regulation under the Companies
Act,1956
\u2022The Companies Act was the earliest enactment that
has regulatory provisionsin the issuing of shares and
securities by the company.
\u2022It has provisions relating to issue, allotment and

transfer of securities and the necessary disclosures to be made while making a public issue. The disclosures to be made in Prospectus

\u2022It also has provisions relating to securities market.
\u2022It regulates the entire process of allotment of shares
and issuing of share certificates.
The Provisions that have a bearing relating to
Securities market are as follows:
\u2022The different kinds of share capital that the company can raise and
relating provisions. The provisions and restrictions relating to
prospectus.
\u2022To issue securities, how the company has to make application to a
recognized stock exchange for seeking permission to get listed.
\u2022Time limits are set to issue share certificates and debentures. Law
relating to transfer and transmission of shares.
\u2022It prescribes the procedure and conditions for raising capital like
public issue, right issue, bonus issue, shares at premium, shares at
discount, redeeming of shares etc..
\u2022The provisions stated in the Act are to be followed strictly and in
case of non-compliance, it will lead to penal consequences.

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