Bloomsbury SEBI Manual Set of 3 Volume Edition January 2020

Covering:

1. Bird’s Eye view of SEBI Laws

2. List of Regulations

3. List of Rules

4 List of Circulars

5. List of Notifications

6. List of Master Circulars

1. Securities and Exchange Board of India (SEBI) Act, 1992

2. Securities Contracts (Regulation) Act, 1956

3. Securities Contracts (Regulation) Rules, 1957

4. Depositories Act, 1996

1. SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018

2. SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015

3. SEBI (Substantial Acquisition of Shares and Takeover) Regulations, 2011

4. SEBI (Buy-Back of Securities) Regulations, 2018

5. SEBI (Delisting of Equity Shares) Regulations, 2009

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

7. SEBI (Issue &Listing of Non-Convertible Redeemable Preference Shares) Regulations, 2013

8. SEBI (Issue and Listing of Securitised Debt Instruments and Receipts) Regulations, 2008

9. SEBI (Share Based Employee Benefits) Regulations, 2014

10. SEBI (Prohibition of Insider Trading) Regulations, 2015

11. SEBI (Prohibition of Fraudulent and Unfair Trade Practices Relating to Securities Market) Regulations, 2003

12. SEBI (Settlement Proceedings) Regulations, 2018

13. SEBI (Mutual Funds) Regulations, 1996

14. SEBI (Alternative Investment Funds) Regulations, 2012

15. SEBI (Real Estate Investment Trusts) Regulations, 2014

16. SEBI (Infrastructure Investment Trusts) Regulations, 2014

17. SEBI (Debenture Trustees) Regulations, 1993

18. SEBI (Portfolio Manager) Regulations, 1993

19. SEBI (Registrars to an Issue and Share Transfer Agents) Regulations, 1993

20. SEBI (Underwriters) Regulations, 1993

21. SEBI (Investment Advisers) Regulations, 2013

Volume 2

Covering:

22. SEBI (Merchant Bankers) Regulations, 1992

23. SEBI (Stock Brokers ) Regulations, 1992

24. SEBI (Credit Rating Agencies) Regulations, 1999

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

26. SEBI (Intermediaries) Regulations, 2008

27. SEBI (Bankers to an Issue)Regulations, 1994

28. SEBI (Research Analyst) Regulations, 2014

29. SEBI (Foreign Portfolio Investors)Regulations, 2014

30. SEBI (Collective Investment Schemes) Regulations, 1999

31. SEBI (Custodian) Regulations, 1996

32. SEBI (Self Regulatory Organizations) Regulations, 2004

33. SEBI (Regulatory fee on Stock Exchanges) Regulations, 2006

34. SEBI (Investor Protection and Education Fund) Regulations, 2009

35. SEBI (Appointment of Administrator & Procedure for Refunding to Investors) Regulations, 2018

36. SEBI {KYC (Know Your Client) Registration Agency} Regulations, 2011

21. SEBI (Investment Advisers) Regulations, 2013

37. SEBI (Procedure for Board Meetings) Regulations, 2001

38. SEBI (Issue and Listing of debt securities by Municipalities) Regulations, 2015

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

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

41. SEBI (Ombudsman) Regulations, 2003

42. SEBI (Procedure for Search and Seizure) repeal Regulations, 2015

43. SEBI (Employees’ Service) Regulation, 2001

44. Securities Contracts (Regulation) (Stock Exchange & Clearing Corporations) Regulations, 2018

45. Securities Contracts (Regulation) (Manner of Increasing and Maintaining Public Shareholding in Recognised Stock Exchanges), Regulations, 2006

46. SEBI (Depositories and Participants) Regulations, 2018

1. SEBI (Annual Report) Rules, 1994

2. SEBI (Appeal to Central Government) Rules, 1993

3. SEBI (Form of Annual Statement of Accounts and Records) Rules, 1994

4. SEBI (Procedure for Holding Inquiry and Imposing Penalties) Rules, 1995

5. SEBI (Terms and Conditions of Service of Chairman and Members) Rules, 1992

6. Securities Contracts (Reference to the CLB) Rules, 1986

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

8. Securities Contracts (Regulation) (Procedure for Holding Inquiry and Imposing Penalties) Rules

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

10. Depositories (Appeal to the Central Government) Rules, 1998

11. Depositories (Procedure for Holding Inquiry and Imposing Penalties) Rules, 2005

12. Companies (Prospectus and Allotment of Securities) Rules, 2014

13. Companies(Share Capital and Debentures) Rules, 2014

14. Securities Appellate Tribunal (Procedure) Rules, 2000

15. Securities Appellate Tribunal (Salaries and Allowances and other conditions of Service of the Officers and Employees) Rules, 1997

16. Securities Appellate Tribunal (Salaries, Allowances and other Terms and Conditions of Presiding Officer and other Members) Rules, 2003

17. Tribunal, Appellate Tribunal and Other Authorities (Qualifications Experience and other Conditions of Service of Members) Rules,

18. Finance Act, 2017 – Condition of service of Chairperson and members of Tribunals, Appellate Tribunals and other authorities

Covering:

1. Master Circular on matters relating to Exchange Traded Derivatives

2. Master Circular on Depositories

3. Master Circular on Stock Exchange and Clearing Corporation

4. Master Circular for Commodity Derivatives Market

5. Master Circular on Mutual Funds

6. Master Circular on Anti-Money Laundering (AML) Standards and Combating the Financing of Terrorism (CFT)/Obligations of Securities Market Intermediaries

7. Master Circular on Stock Brokers

8. Master Circular on Underwriters registered with SEBI

9. Master Circular on Credit Rating Agencies

10. Master Circular on Debenture Trustees

1. Notifications under Regulation 3 of the SEBI (Certification of Associated Persons in the Securities Markets) Regulations, 2007

2. Notifications issued under Section 26A of the SEBI Act, 1992

3. Notification issued under Section 15L of the SEBI Act, 1992

4. Notified common application form for purpose of registration, opening of Bank & DEMAT Accounts and application for PAN by Foreign Portfolio Investors in India

5. Depository Scheme, 2014

6. Issue of Foreign Currency Convertible Bonds and Ordinary Shares (through Depository Receipt Mechanism) Scheme, 1993 Issue of Foreign Currency Exchangeable Bonds Scheme, 2008

7. Companies (Issue of Global Depository Receipts) Rules, 2014

8. The Forward Contracts (Regulation) Act, 1952

9. Forward Contracts (Regulation) Rules, 1954

10. Securities Transaction Tax (Chapter VII of the Finance (No. 2) Act, 2004)

11. Securities Transaction Tax Rules, 2004

12. Securities Transaction Tax – RBI Circulars-Reporting of OTC trades in Corporate Bonds on Trade Reporting Platforms of Stock Exchanges

13. SEBI (Informal Guidance) Scheme, 2003

14. SEBI (Interest Liability Regularisation) Scheme, 2004

15. Applications Supported by Blocked Amount (ASBA)

16. Offer Documents- SEBI (Framework for Rejection of Draft Offer Documents) Order, 2012

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

18. How to get registered as a Research Analyst and instructions for filling in Form A

19. Irregularities/deficiencies in books of accounts of members

20. Code on Conflict of Interests for Members of Board