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of <h1>Stock broker faces penalties for multiple violations under SEBI (Stock Brokers) Regulations, 1992, including insider trading and record-keeping failures.</h1> A stock broker is subject to monetary penalties for various violations under the Securities and Exchange Board of India (Stock Brokers) Regulations, 1992. These include failing to file required returns or reports, not providing information or documents within the stipulated time, and not maintaining proper records. Other violations include not addressing investor grievances promptly, issuing incorrect contract notes, and engaging in insider trading or fraudulent practices. Brokers must also segregate client funds, comply with SEBI directions, maintain client account forms, and meet capital adequacy norms. Unauthorized use of trading terminals and other unspecified violations may also incur penalties.
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