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of <h1>SEBI Amends Regulations, Transfers Pending Inquiries from Enquiry Officers to Adjudicating Officers Under Regulation 5A.</h1> The Securities and Exchange Board of India (SEBI) issued the Second Amendment Regulations, 2003, to modify the procedure for holding inquiries and imposing penalties. Effective from the date of publication, the amendment introduces Regulation 5A, allowing the transfer of pending inquiries related to violations of the SEBI (Stock Brokers and Sub-Brokers) Regulations, 1992. These inquiries can be transferred from an enquiry officer to an adjudicating officer appointed under Section 15I of the SEBI Act, 1992. The adjudicating officer will then handle the proceedings as per the established adjudication process.
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