Furnishing information and clarifications: Board may require additional disclosures and personal representation for broker registration. The regulation empowers the Board to require an applicant for stock broker registration, or the concerned stock exchange, to furnish additional information or clarifications concerning trading, settlement or dealings in securities and related matters as necessary to consider a certificate application, and permits the Board to summon the applicant or its principal officer for personal representation.
Cases where this provision is explicitly mentioned in the judgment/order text; may not be exhaustive. To view the complete list of cases mentioning this section, Click here.
Provisions expressly mentioned in the judgment/order text.
Furnishing information and clarifications: Board may require additional disclosures and personal representation for broker registration.
The regulation empowers the Board to require an applicant for stock broker registration, or the concerned stock exchange, to furnish additional information or clarifications concerning trading, settlement or dealings in securities and related matters as necessary to consider a certificate application, and permits the Board to summon the applicant or its principal officer for personal representation.
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