Change in Name

(Circular no. 620 download Reference No. NSE/MEMB/10363 dated February 28, 2008)

Download Reference no.NSE/MEMB/10363 (.zip)

This process involves the following 3 stages:
 

  • Stage 1 - Intimation/Application, seeking prior approval, to the Exchange for change in name, prior to making an application to the Registrar of Companies (ROC)
  • Stage 2 - Submission of documents to the Exchange for incorporating name change in the SEBI Registration Certificates after completing requisite formalities with the ROC
  • Stage 3 - Submission of documents to the Exchange for enablement on the NEAT system in the new name after receipt of SEBI Registration Certificate(s) with the new name

In case of any change in name, the Trading Members need to inform the Exchange along with these set of documents.

Download Application for Change in Name of the Trading Member (.doc)

Further, Members are requested to note that change in the name of the Trading Member by addition/deletion of word ‘Private’ would tantamount to change in status or constitution as laid down under Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) (Second Amendment) Regulations, 2006. Accordingly, Members are required to seek prior approval of the Exchange submitting an application with documents listed under Stage 1. Exchange shall in turn seek prior approval of SEBI and communicate approval to the Members. On receipt of approval from the Exchange, Member may go ahead with requisite formalities with the Registrar of Companies and submit Stage 2 documents to the Exchange for incorporating name change in the SEBI Registration Certificate(s).

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