https://www.taxtmi.com/acts?id=35608 Regulation 17 requires stock brokers to maintain specified books and records-transaction registers, ledgers, journals, cash and bank books, documents register for securities, contract books, contract note counterfoils, client consents, margin deposit book and client account opening forms-and for Execution Only Platforms to keep records as the Board specifies. Brokers must notify the Board of record location and, if required, furnish audited financial statements within six months or notify delays. Additional recordkeeping, agreement and conduct requirements apply where brokers act as underwriters, including specified agreement terms and limits on benefits from underwriting. en-us Fri, 25 Jan 2019 10:45:10 +0530 Mon, 16 Sep 2024 18:00:22 +0530 TaxTMI RSS Generator https://www.taxtmi.com/acts?id=35608 Regulation 17 requires stock brokers to maintain specified books and records-transaction registers, ledgers, journals, cash and bank books, documents register for securities, contract books, contract note counterfoils, client consents, margin deposit book and client account opening forms-and for Execution Only Platforms to keep records as the Board specifies. Brokers must notify the Board of record location and, if required, furnish audited financial statements within six months or notify delays. Additional recordkeeping, agreement and conduct requirements apply where brokers act as underwriters, including specified agreement terms and limits on benefits from underwriting. Act-Rules SEBI Fri, 25 Jan 2019 10:45:10 +0530 https://www.taxtmi.com/acts?id=35608