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Forms & Formats

Forms & Formats

Membership Investors Corporates

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Formats for Additional Segment

Download Application Form for Additional Segment (.doc)

Download Checklist (.doc)

Change in Membership Type

Download Downgrade of membership (.doc)

Download Documents for SEBI registration in CM Segment (.zip)

Download Documents for SEBI registration in F&O Segment (.zip)

Download Documents for enablement on CM Segment (.zip)

Download Checklist for CM Segment (.xls)

Download Documents for enablement on F&O Segment (.zip)

Download Checklist for F&O Segment (.xls)

Download Documents for change in clearing member affiliation (.zip)

Download Documents for conversion from Normal to Alpha membership (.zip)

Download Documents for conversion from Alpha to Normal membership (.zip)

Connectivity

Download Application for new scenario (.doc)

Download Application for Colocation Rack (.doc)

Download Documents for Taking a Connectivity At Third Party Data Center (.zip)

Sub-brokers

Download Change in member affiliation of Sub-broker (.zip)

Download Withdrawal of sub-broker registration application (.doc)

Download Cancellation of sub-broker registration (.doc)

Authorised Persons

Appointment of Authorised Person:

Download Corporate (.doc)

Download Partnership Firm/LLP (.doc)

Download Individual (.doc)
Checklist for appointment of Authorised Person:

Download Corporate (.doc)

Download Partnership Firm/LLP (.doc)

Download Individual (.doc)

Download Checklist for Cancellation of Authorised Person Application (.doc)

Download Application for cancellation of Authorised Person (.doc)

Download Change in Status and constitution of Authorised Person (.doc)

Download Agreement format between the Trading Member and Authorised Person (.doc)

Format of Trading Membership Undertaking

CM Segment:

Download Corporate (.zip)

Download Firm (.zip)
F&O Segment:

Download Individual (.zip)

Download Corporate (.zip)

Download Firm (.zip)
Currency Derivatives Segment:

Download Individual (.zip)

Download Corporate (.zip)

Download Firm (.zip)

Download CM and F&O : Corporate (.zip)

Download Regional Stock Exchange (.zip)

Format of Clearing Member Undertaking

SEBI Broker Database:

Download Soft Copy - TM.exe (zip)

Download Hard Copy (.zip)

Download Application for approval as user (.zip)

Download Method of computation of networth (.zip)

Download Networth certificate - Annexure C-1 (.zip)

Download Details of Directors - Annexure C-3 (.zip)

Download Details of shareholding - Annexure C-6 (.zip)

Download Details of dominant promoter group - Annexure C-7 (.zip)

Download Request for turnover certificate (.doc)

Download Surrender of membership (Total & segmental surrender) (.doc)

Change in Member Details

Download Application for change in directors (.doc)

Download Application for change in shareholding pattern (.doc)

Download Change in Control (.zip)

Download Change in Constitution (.zip)

Download Change in name of the Trading Member (.doc)

Download Trading Member Registered Office Change (.doc)

Download Merger/Amalgamation of Trading Member (.doc)

Download upgradation/conversion of constitution into LLP (.zip)

Format for Single SEBI Registartion

Download Format for Single SEBI Registartion (.doc)

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Grievances

Written compliant against Trading Member (.doc)

Instructions : Trading Member complaint form (.doc)

Written complaint against Company (.doc)

Instructions : Company compliant form (.doc)

Arbitration

Download Form (.zip)

Claims

Against Expelled / Defaulter member (.doc)

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ADR's/GDR's

Download Under Reg 28(1) (.xlsx)

Download Post Allotment (.xlsx)

Abeyance

Download Abeyance (.xls)

Amalgamation/Merger /Scheme of Arrangement

Application under Regulation 37 of SEBI (LODR) Regulations,2015(.docx)

Checklist_Post_Allotment_Schemes(.xlsx)

Download Checklist In-principle - Clause 19(2)(b) (.zip)

Download Final Listing - Clause 19(2)(b) (.pdf)

Bonus

Download Under Reg 28(1) - Bonus (.xlsx)

Download Post-allotment (.xlsx)

Conversion

Download Other than Preferential (.xlsx)

Employee Stock Options Plan (ESOP)

Regulation 10(b)(.xls)

Regulation 10(c) (.xls)

Employee Stock Purchase Scheme (ESPS)

Download under Reg28(1)_ESPS (.xls)

Checklist_Post_ESPS (.xls)

Foreign Currency Convertible Bonds (FCCB)

Download under Reg28(1)_FCCB (.xlsx)

Download Conversion : First Time (.xlsx)

Download Conversion : Subsequent (.xlsx)

Preferential Issue

Download Reg 28(1) Preferential (.doc)

Download Post-Allotment (.doc)

Download Final Listing Preferential (.doc)

Download InPrinciple Approval InvITS (.docx)

Download Post Allotment InvITs (.docx)

Download Trading Approval InvITs (.docx)

Institutional Placement Programme (IPP)

Download Pre-Allotment (.xls)

Download Post-Allotment (.xls)

Qualified Institutional Placement (QIP)

Download Pre-Allotment (.xlsx)

Download Post-Allotment (.xlsx)

Recommencement of Trading

Download Recommencement of Trading (Scheme of arrangement) (.zip)

Rights Issue

In-principle approval (.docx)

Post allotment (.docx)

Trading Approval (.docx)

In-principle approval - Fast Track (.docx)

Post allotment - Fast Track (.docx)

Trading Approval - Fast Track (.docx)

Follow-on Public Offer (FPO)

Download Vetting (.xls)

Download Post-Allotment (.xls)

Updated on: 10/01/2020

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