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of <h1>SEBI Regulation 5A: Transfer of Pending Enquiries to Adjudicating Officer for Stock Broker Violations Explained</h1> Regulation 5A of the SEBI (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002, addresses the transfer of pending enquiries related to violations of the SEBI (Stock Brokers and Sub-Brokers) Regulations, 1992. If an enquiry is pending before an enquiry officer before the commencement of the 2003 Amendment Regulations and can be adjudicated under Chapter VIA, it may be transferred to an adjudicating officer by the SEBI Chairman or member. The enquiry officer must forward the records to the adjudicating officer, who will then handle the matter as per the adjudicating proceedings rules.
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