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of <h1>SEBI Amends 2002 Regulations: New Rules for Sub-Brokers, Enquiry Officers, and Penalty Procedures Under Regulations 15 & 16.</h1> The Securities and Exchange Board of India (SEBI) issued the Second Amendment to the 2002 Regulations concerning the procedure for holding enquiries by enquiry officers and imposing penalties. The amendment, effective upon its publication in the Official Gazette, introduces changes to regulations 15 and 16. It specifies conditions under which a sub-broker ceases to operate if their affiliated stock broker is declared a defaulter or loses registration. Additionally, it allows the SEBI Chairman or member to appoint an officer for recommendations or pass a common order for similar cases among intermediaries, with provisions for handling representations from intermediaries.
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