NATIO ONAL STOCK EXCHA S ANGE OF INDIA LIMITE A ED

Depart rtment : SB BU-Educatio on NCFM COURS OUTLINE M SE

Complia ance Officer (Brokers) Module rs ) The Securit ties and Exc change Boa rd of India Act, 1992 A Definitions, Establishme of SEBI, Powers and functions of the Board Penalties and adjudica ent d o d, a ation, Establishme jurisdictio authority and procedu of appella tribunal. ent, on, ure ate The Securit ties Contrac (Regulatio ct ons) Act, 1956 The Securit ties Contrac (Regulat ion) Rules, 1957 cts Definitions, Contracts between me b embers of re ecognized st tock exchan nge, SEBI nominees on the n n governing bo odies of reco ognized stoc exchange, Obligation of the govern ck rning body to take discipl o linary action again a memb if so dire nst ber ected by SE EBI, Books of account and other documents t be d to maintained and preserv by every member of a recognize stock exc ved y f ed change, Aud of accoun of dit nts members, m manner of in nquiry, With hdrawal of re ecognition, Submission of annual report, perio r odical returns, man nner of publication of b ye-laws for criticism, requirements w with respect to the listin of t ng securities on a recogniz stock ex n zed xchange, Req quirements with respect to the listing of units or any w t r other instrum ment of a collective inves stment schem on a reco me ognized stock exchange. k SEBI (Stock Brokers an Sub Brok k nd kers) Regula ations, 1992 2 Circulars, R Rules, Regulations and Bye-laws NSE, NSCC SEBI and MoF circullars as enforced from tim to time, NSE Rules, Regulations and CL, d me s Byelaws, NS SCCL Rules, Regulations and Byelaw s ws SEBI Regul lations SEBI (Prohibition of Frau udulent and Unfair Trade Practices relating to Se e ecurities Mar rket) Regulat tions, 2003, SEBI (Prohibition of Insider Tra ading) Regulations, 1992 SEBI (Port 2, rtfolio Managers) Regulat tions, 1993, SEBI (Underwriter Regulatio rs) ons, 1993, SE (Ombuds EBI sman) Regu lations, 2003 3

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