SEBI Circular Implemented By VSE

SEBI Circular Implemented By VSE for Oct-2006 to Sep-2009

SEBI Letter no. MIRSD-1/197689/2010 dated 8th March 2010 regarding Two orders passed by SEBI against members of Vadodara Stock Exchange Ltd pursuant to Summary Proceedings

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

Company Law settlement scheme, 2010

Easy Exit scheme, 2010

ORDER OF SUMMARY PROCEEDINGS AGAINST THE STOCK BROKERS WHO DEFAULTED IN THE PAYMENT OF REGISTRATION FEES, ORDER DATED 17TH SEPTEMBER, 2010.

Order Nos 69/2010, 70/2010 of the Whole Time Member dated September 17, 2010 against brokers of your exchange who had defaulted in payment of fees in the manner specified in the SEBI (Stock Brokers and Sub-Brokers), Regulations 1992

Circular for year 2010
Date Subject
3 Jan, 2011 Modifications to client code post trade execution
27 April, 2011 Review of Annual Issuers' charges.
29 April, 2011 Applications Supported by Blocked Amount (ASBA) facility
13 May, 2011 Clarification on circular dated December 3, 2009 on 'Dealings between a Client and a Stock broker
2 Jun, 2011 Liquidity Enhancement Schemes for Illiquid Securities in Equity Derivatives Segment
3 Jun, 2011 Periodical Report – Grant of prior approval to members of stock exchanges/sub-brokers
3 Jun, 2011 Processing of investor complaints against listed companies in SEBI Complaints Redress System (SCORES)
16 Jun, 2011 Change of Name by Listed Companies
16 Jun, 2011 Modification to Investor Protection Fund (IPF)/ Customer Protection Fund (CPF) Guidelines
17 Jun, 2011 Periodical Report – Grant of prior approval to Depository Participants
17 Jun, 2011 Shareholding of promoter / promoter group to be in dematerialized mode
30 Jun, 2011 Review of Internet Based Trading (IBT) and Securities trading using Wireless Technology (STWT)
02 Aug, 2011 Revised procedure for seeking prior approval for change in control through single window
02 Aug, 2011 SMS and E-mail alerts to investors by stock exchanges
16 Aug, 2011 Securities and Exchange Board of India (Prohibition of Insider Trading) (Amendment) Regulations, 2011.
22 Aug, 2011 Simplification and Rationalization of Trading Account Opening Process.
23 Sep, 2011 Securities and Exchange Board of India (Substantial Acquisition of Shares and Takeovers) Regulations, 2011 and consequential amendments to Clause 35 of the Equity Listing Agreement.
28 Sep, 2011 Filing Offer Documents with SEBI under SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009
5 Oct, 2011 Amendments to the Equity, IDR and SME Equity Listing Agreements
5 Oct, 2011 Uniform Know Your Client (KYC) Requirements for the Securities MarketsCategory
20 Oct, 2011 SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011 (The Regulations)
24 Oct, 2011 Reporting format under Regulation 11 of Securities Contracts (Regulation) (Manner of Increasing and Maintaining Public Shareholding in Recognised Stock Exchanges) Regulations, 2006.
25 Oct, 2011 ‘In-person’ verification (IPV) of clients by subsidiaries of stock exchanges, acting as stock brokers.
22 Nov, 2011 SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011 (The Regulations)
29 Nov, 2011 Annual System Audit
2 Dec, 2011 The Securities and Exchange Board of India (KYC Registration Agency) Regulation, 2011.
15 Dec, 2011 Guidelines on Outsourcing of Activities by Intermediaries
23 Dec, 2011 Guidelines in pursuance of the SEBI KYC Registration Agency (KRA) Regulations, 2011 and for In-Person Verification (IPV).