| Download No. |
Date |
Particulars |
| NSE/INSP/16616 |
December 24, 2010 |
List of violations and applicable penalties (CM, WDM, F&O and CD Segments) |
| NSE/INSP/16615 |
December 24, 2010 |
FAQs for NRI -Trading Account |
| NSE/INSP/16536 |
December 15, 2010 |
Notification under regulation 3 of the Securities and Exchange Board of India (Certification of Associated Persons in Securities Market) Regulations, 2007 |
| NSE/INSP/16385 |
November 24, 2010 |
Submission of Internal Audit report through ENIT for the period April 01, 2010 to September 30, 2010 |
| NSE/INSP/16242 |
November 08, 2010 |
Display of details by stock brokers (including trading members) |
| NSE/INSP/15996 |
October 13, 2010 |
Internal Audit of Trading members / Clearing members |
| NSE/COMP/15982 |
October 12, 2010 |
Submission of Half Yearly Networth Certificate |
| NSE/COMP/15851 |
September 29, 2010 |
Extension of time for Submission of Annual Returns for the Financial Year 2009-10 |
| NSE/INSP/15770 |
September 20, 2010 |
Observations made during Inspections/Reported in Internal Audit Reports |
| NSE/COMP/15741 |
September 15, 2010 |
Reminder for Submission of Annual Returns for the year 2009-2010 |
| NSE/INSP/15598 |
August 31, 2010 |
Clarification on Execution of Power of Attorney (PoA) by the Client in favour of the Stock Broker / Stock Broker and Depository Participant |
| NSE/COMP/15224 |
July 15, 2010 |
Mandatory Insurance Cover for the Period 2010-2011 |
| NSE/COMP/15211 |
July 15, 2010 |
Suspension of Membership |
| NSE/INSP/15171 |
July 08, 2010 |
Submission of Internal Audit Report |
| NSE/INSP/15066 |
June 25, 2010 |
Reminder for submission of Internal Audit Report |
| NSE/INSP/15008 |
June 17, 2010 |
Clarification on dealings between a client and a stock broker |
| NSE/INSP/14980 |
June 14, 2010 |
Reminder for submission of Internal Audit Report |
| NSE/COMP/14940 |
June 07, 2010 |
Submission of Annual Returns for the year 2009-2010 |
| NSE/INSP/14814 |
May 18, 2010 |
Submission of Internal Audit Report through ENIT |
| NSE/COMP/14758 |
May 11, 2010 |
SAT ORDER IN THE MATTER OF ALKA SECURITIES LTD |
| NSE/COMP/14739 |
May 10, 2010 |
MANDATORY INSURANCE COVER FOR THE PERIOD 2010-2011 |
| NSE/INSP/14725 |
May 06, 2010 |
Status of Implementation - Dealings between a client and a stock broker |
| NSE/INSP/14660 |
April 27, 2010 |
Status of Implementation - Dealings between a client and a stock broker |
| NSE/INSP/14646 |
April 26, 2010 |
Execution of Power of Attorney (POA) by clients in favour of stock broker / stock broker and depository participant |
| NSE/INSP/14644 |
April 23, 2010 |
Internal Audit of Trading members / Clearing members |
| NSE/INSP/14501 |
April 05, 2010 |
Disclosure of regulatory orders and arbitration awards on Stock Exchange website |
| NSE/INSP/14477 |
March 31, 2010 |
Clarification on dealings between a client and a stock broker |
| NSE/COMP/14460 |
March 30, 2010 |
SUSPENSION OF MEMBERSHIP |
| NSE/COMP/14425 |
March 26, 2010 |
SUSPENSION OF MEMBERSHIP |
| NSE/COMP/14410 |
March 25, 2010 |
SEBI ORDER AGAINST M/S. C MACKERTICH LTD |
| NSE/INSP/14340 |
March 17, 2010 |
Master Circular on Oversight of Members (Stock Brokers/Trading Members/Clearing Members of any Segment of Stock Exchanges and Clearing Corporations) |
| NSE/INSP/14109 |
February 15, 2010 |
List of common violations and applicable penalties |
| NSE/INSP/14048 |
February 03, 2010 |
Clarification on dealings between a client and a Stock Broker |
| NSE/COMP/13974 |
January 25, 2010 |
SEBI ORDER AGAINST M/S. ALKA SECURITIES LTD |
| NSE/COMP/13960 |
January 22, 2010 |
SEBI ORDER AGAINST M/S. ALKA SECURITIES LTD |
| NSE/INSP/13931 |
January 19, 2010 |
In-person verification of Clients by Stock Brokers |
| NSE/INSP/13896 |
January 12, 2010 |
Submission of Internal Audit Report |
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