Manual of SEBI ACT, Rules, Regulations, Guidelines, Circulars, etc.

CONTENTS

Volume 1

REFERENCER

1. Rajiv Gandhi Equity Savings Scheme, 2012

2. Investor Grievance Redressal Mechanism at Stock Exchanges

3. SARAL Account Opening Form for Resident Individuals

4. General Information Document

5. Investor Education Guide 

6. Printing of Grievances Redressal Mechanism on Delivery Instruction Form Book 

7. Exclusive e-mail ID for redressal of Investor Complaints 

8. SEBI Complaints Redress System (SCORES)

9. Comprehensive guidelines for Investor Protection Fund/Customer Protection Fund at Stock Exchanges 

10. Notifications designating Special Courts 

11. Penalties prescribed under Securities and Exchange Board of India Act, 1992 

12. Penalties prescribed under Securities Contracts (Regulation) Act, 1956 

13. Penalties prescribed under the Depositories Act, 1996 

14. Principles of Financial Market Infrastructures (PFMIs) Background

15. Cyber Security and Cyber Resilience framework of Stock Exchanges, Clearing Corporation and Depositories

16. Securities and Exchange Board of India (International Financial Services Centres) Guidelines, 2015

17. Inter-Governmental Agreement with United States of America under Foreign Accounts Tax Compliance Act — Registration

18. Addresses and jurisdiction as regard to filing of offer documents of Offices of Securities and Exchange Board of India

19. Notification regarding establishment of Local Offices of the Board

20. Addresses of Stock Exchanges 

21. Addresses of National Consumer Disputes Redressal Commission and State Commissions 

22. Names and Contact Information of Investors Associations recognised by SEBI

 

Division I

SECURITIES EXCHANGE BOARD OF INDIA ACT, 1992; SECURITIES CONTRACTS (REGULATION) ACT & 

RULES; DEPOSITORIES ACT, 1996

1. The Securities and Exchange Board of India Act, 1992

2. The Securities Contracts (Regulation) Act, 1956

3. The Securities Contracts (Regulation) Rules, 1957

4. The Securities Contracts (Reference to the Company Law Board) Rules, 1986

5. The Securities Contracts (Regulation) (Appeal to Securities Appellate Tribunal) Rules, 2000

6. The Securities Contracts (Regulation) (Procedure for Holding Inquiry and Imposing Penalties by Adjudicating Officer) Rules, 2005

7. Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2012

8. The Depositories Act, 1996

9. Depositories (Procedure for Holding Inquiry and Imposing Penalties by Adjudicating Officer) Rules, 2005

10. Securities and Exchange Board of India (Settlement of Administrative and Civil Proceedings) Regulations, 2014

11. Securities Appellate Tribunal (Procedure) Rules, 2000

Division II

SEBI GUIDELINES, RULES, REGULATIONS, ETC.

1. Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) Regulations, 2009

2. Securities Lending Scheme

3. Uniform norms for processing share transfers

4. Securities and Exchange Board of India (Stock-brokers and Sub-brokers) Regulations, 1992

5. Requirements for brokers offering securities through WAP

6. Margin Trading and Securities Lending and Borrowing

7. Submission of Annual Returns

8. Securities and Exchange Board of India (Merchant Bankers) Regulations, 1992

9. Securities and Exchange Board of India (Portfolio Managers) Regulations, 1993

10. Securities and Exchange Board of India (Appeal to Central Government) Rules, 1993

11. Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) Regulations, 1993

12. Securities and Exchange Board of India (Underwriters) Regulations, 1993

13. Securities and Exchange Board of India (Debenture Trustees) Regulations, 1993

14. Securities and Exchange Board of India (Annual Report) Rules, 1994

15. Securities and Exchange Board of India (Form of Annual Statement of Accounts and Records) Rules, 1994

16. Securities and Exchange Board of India (Procedure for Board Meetings) Regulations, 2001

17. Securities and Exchange Board of India (Bankers to an Issue) Regulations, 1994

18. SEBI (Procedure for Holding Inquiry and Imposing Penalties by Adjudicating Officer) Rules, 1995

19. SEBI (Custodian of Securities) Regulations, 1996

Volume 2

20. SEBI (Depositories and Participants) Regulations, 1996

21. The Depositories (Appeal to Securities Appellate Tribunal) Rules, 2000

22. SEBI (Foreign Venture Capital Investors) Regulations, 2000

23. Securities and Exchange Board of India (Mutual Funds) Regulations, 1996

24. SEBI (Buy-Back of Securities) Regulations, 1998

25. Relevant provisions of Companies (Share Capital and Debentures) Rules, 2014 regarding Buy-Back of shares or other securities by private limited and unlisted public limited companies

26. SEBI (Credit Rating Agencies) Regulations, 1999

27. SEBI (Collective Investment Schemes) Regulations, 1999

28. SEBI (Issue of Sweat Equity) Regulations, 2002

29. Relevant provisions of Companies (Share Capital and Debentures) Rules, 2014 regarding issue of sweat equity shares by unlisted companies

30. Securities and Exchange Board of India (Informal Guidance) Scheme, 2003

31. Securities and Exchange Board of India (Prohibition of Fraudulent and Unfair Trade Practices relating to Securities Market) Regulations, 2003

32. SEBI (Ombudsman) Regulation, 2003

33. SEBI (Central Database of Market Participants) Regulations, 2003

34. Issue of Foreign Currency Exchangeable Bonds Scheme, 2008

35. Relevant provisions of Companies (Registration of Foreign Companies) Rules, 2014 regarding issue of Indian Depository Receipts

36. SEBI (Self Regulatory Organisations) Regulations, 2004

37. Securities and Exchange Board of India (STP Centralised Hub and STP Service Providers) Guidelines, 2004

38. Securities Transaction Tax

39. Corporate Bond Market — Launch of Reporting Platform

40. SEBI (Regulatory Fee on Stock Exchanges) Regulations, 2006

41. SEBI (Issuing Observations on Draft Offer Documents Pending Regulatory Actions) Order, 2006

42. SEBI (Certification of Associated Persons in the Securities Markets) Regulations, 2007

43. Short selling and securities lending and borrowing

44. Introduction of Direct Market Access facility

45. Securities and Exchange Board of India (Intermediaries) Regulations, 2008

46. Securities and Exchange Board of India (Issue and Listing of Debt Securities) Regulations, 2008

47. Securities and Exchange Board of India (Public Offer and Listing of Securitised Debt Instruments) Regulations, 2008

48. Securities and Exchange Board of India (Investor Protection and Education Fund) Regulations, 2009

49. Securities and Exchange Board of India (Delisting of Equity Shares) Regulations, 2009

50. Securities and Exchange Board of India (Aid for Legal Proceedings) Guidelines, 2009

51. Guidelines for market makers on Small and Medium Enterprise (SME) exchange/separate platform of existing exchange having nation wide terminal

52. Arbitration Mechanism in Stock Exchanges

53. SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011

54. Securities and Exchange Board of India (KYC Registration Agency) Regulations, 2011

55. SEBI (Alternative Investment Funds) Regulations, 2012

56. Comprehensive guidelines on Offer for Sale (OFS) of Shares by Promoters through the Stock Exchange Mechanism

57. Broad Guidelines on Algorithmic Trading

58. General Order — SEBI (Framework for Rejection of Draft Offer Documents) Order, 2012

59. Securities and Exchange Board of India (Investment Advisers) Regulations, 2013

60. Securities and Exchange Board of India (Issue and Listing of Non-Convertible Redeemable Preference Shares) Regulations, 2013

61. Securities and Exchange Board of India (Procedure for Search and Seizure) Regulations, 2014

62. Securities and Exchange Board of India (Foreign Portfolio Investors) Regulations, 2014

63. Safeguards to avoid trading disruption in case of failure of software vendor

64. Securities and Exchange Board of India (Research Analysts) Regulations, 2014

65. Securities and Exchange Board of India (Real Estate Investment Trusts) Regulations, 2014

Volume 3

66. Securities and Exchange Board of India (Infrastructure Investment Trusts) Regulations, 2014

67. Securities and Exchange Board of India (Share Based Employee Benefits) Regulations, 2014

68. Guidelines for Employees' Stock Option Plan or Scheme — Issued under section 17(2)(iii), Income-tax Act

69. Securities and Exchange Board of India 

(Prohibition of Insider Trading) Regulations, 2015

70. Depository Receipts Scheme, 2014

71. Master Direction — External Commercial Borrowings, Trade Credit, Borrowing and Lending in Foreign Currency by Authorised Dealers and Persons other than Authorised Dealers

72. Exchange Traded Currency Derivatives

73. Options on USD-INR Spot Rate

74. Exchange Traded Interest Rate Futures

75. Introduction of Derivative Contracts on Foreign Stock Indices

76. Circulars related to National Commodity Derivatives Exchanges

77. Securities and Exchange Board of India (Issue and Listing of Debt Securities by Municipalities) Regulations, 2015

78. Securities and Exchange Board of India (Listing 

Obligations and Disclosure Requirements) Regulations, 2015

79. SEBI (Prohibition on Raising Further Capital from Public and Transfer of Securities of Suspended Companies) Order, 2015

Master Circulars

I. SEBI/HO/IMD/DF3/CIR/P/2016/84, dated 14-9-2016: Master Circular for Mutual Funds

II. SEBI/HO/MRD/DP/CIR/P/2016/134, dated 15-12-2016: Master Circular for Depositories

III. SEBI/HO/MRD/DP/CIR/P/2016/135, dated 16-12-2016:  Master Circular for Stock Exchange and Clearing Corporation 

IV. CIR/ISD/AML/3/2010, dated 31-12-2010: Master Circular on AML/CFT — Anti Money Laundering (AML) Standards/ Combating the Financing of Terrorism (CFT)/Obligations of Securities Market Intermediaries under the Prevention of Money Laundering Act, 2002 and Rules framed thereunder