Securities and Exchange Board of India (Stock Brokers) (Amendment) Regulations, 2023. - SEBI/LAD-NRO/GN/2023/116

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<h1>SEBI Amends Stock Brokers Regulations 2023: New Qualified Brokers and Enhanced Compliance Under Regulation 18D.</h1> The Securities and Exchange Board of India (SEBI) issued the Stock Brokers (Amendment) Regulations, 2023, effective upon publication in the Official Gazette. Key amendments include the introduction of 'qualified stock brokers,' defined under regulation 18D, who are subject to enhanced obligations based on parameters like client numbers, assets, and trading volumes. Amendments also affect Regulation 17 and Schedules V and VI, introducing requirements for Execution Only Platforms and modifying net worth and compliance criteria. These changes aim to strengthen governance, risk management, and investor services in the securities market.

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