Securities and Exchange Board of India (Stock Brokers) (Amendment) Regulations, 2023.

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....tock Brokers) (Amendment) Regulations, 2023. 2. They shall come into force on the date of their publication in the Official Gazette: Provided that the amendments in Regulation 17, Schedule V and Schedule VI shall come into force on such date as the Board may by notification appoint in the Official Gazette. 3. In the Securities and Exchange Board of India (Stock Brokers) Regulations, 1992 - I. in regulation 2, in sub-regulation (1), after clause (cb), the following new clause shall be inserted, namely, - "(cc) "qualified stock broker" means a stock broker referred to in regulation 18D of these regulations;" II. in Regulation 17, after sub-regulation (1), the following new sub-regulation shall be inserted, namely, - "(1A) A stock ....

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....ing online complaint redressal mechanism." IV. in Schedule V, in Part B, in clause 3, in sub-clause (1), in the Table, after the row for the "Electronic Gold Receipt Segment‟, the following row shall be inserted, namely, - " Segment Rate/Amount (in ₹) Remarks Stock broker Clearing member Self-clearing member Execution Only Platforms * * * " V. in Schedule VI, (i) in Table 1, after the remarks "# Networth requirement for members shall be Base Networth or Variable Networth, whichever is higher.", the following shall be inserted, namely,- "However, the requirement of Variable Networth shall not be applicable for Execution Only Platforms segment." (ii) in Table 2, after the row for the "Electronic Gold Recei....

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....y 29, 2001 by SEBI (Investment Advice by Intermediaries) (Amendment) Regulations, 2001 vide S.O. No. 476(E). j) November 15, 2001 by SEBI (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2001 vide S.O. No. 1128 (E). k) February 20, 2002 by SEBI (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2002vide S.O. No. 220 (E). l) September 27, 2002 by SEBI (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002 vide S.O. No. 1045 (E). m) September 23, 2003 by the SEBI (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2003 vide S.O. No. 1095 (E). n) November 20, 2003 by the SEBI (Stock Brokers and Sub-Brokers) (Second Amendment) Regulations, 2003 vide F. No. SEBI /LAD /20795 /2003. ....

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....ock Brokers and Sub-Brokers) (Amendment) Regulations, 2011 vide Notification No. F. No. LAD -NRO/ GN/2011 -12/01/11486. y) April 19, 2011 by the Securities and Exchange Board of India (Change in Conditions of Registration of Certain Intermediaries) (Amendment)Regulations, 2011 vide Notification No. LAD/NRO/GN/2011-12/03/12650. z) August 17, 2011 by the Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) (Second Amendment) Regulations, 2011 vide Notification No. LAD-NRO/GN/2011-12/19/26273. aa) April 5, 2013 by the Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2013 vide Notification No. LAD-NRO/GN/2013-14/01/8129. bb) September 27, 2013 by the Securities and Exchang....