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WELCOME

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SECURITIES AND EXCAHANGE

BOARD OF INDIA!!!!

SUBMITTED TO- SUBMITTED BY-

DR RISHI CHAUDHARY SHUBHAM(2290)

RAHUL (2285)

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SEBI INTRODUCTION In 1988 the Securities and Exchange Board of India

(SEBI) was established by the Government of Indiathrough an executive resolution.

In the year 1992 with the passing of the Securities andExchange Board of India Act (SEBI Act) on 30th

January 1992.

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Securities and Exchange Board of India?To ensure effective regulation of the Capital Market,

SEBI Act,1992 was enacted to establish SEBI withstatutory powers for;

Protecting the interest of investors in securities

Promoting the development of the securities market

Regulating the securities market

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POWERS OF SEBI! SEBI can specify the matters to be disclosed and the

standard of disclosure required for the protection ofinvestors in respect of issues; can issue directions to allintermediaries and other person associated with thesecurities market.

All the intermediaries and persons associated withsecurities market viz.., broker and sub broker,underwriters, merchant banker, share transfer agent,

registrar to the issue, depositeries,depository participants,portfolio managers,foreign institutional investors,custodians, mutual funds, credit rating agencies shall beregistered with SEBI.

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CONSTITUTION OF SEBI

The Central Government has constituted a Board by

the name of SEBI under section of SEBI Act. The HeadOffice of SEBI is in Mumbai.

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SEBI consist of the following membersA Chairman

Two members from amongst the officials of theMinisters of the Central Government dealing withthe Finance and administration of thecompanies,act 1956.

One member from amongst the officials of the

Reserve Bank Of India; Five other members from whom at least three shall

be whole time members to be appointed by theCentral Government

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FUNCTIONS OF SEBI

Regulating the business in stock exchanges andother securities market.

Registering and regulating the working of stockbrokers, sub brokers, share transfer agent,

merchant bankers, underwriters, portfoliomangers and such other intermediaries who maybe associated with securities market.

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Promoting and regulating self regulatory organization.

Promoting investors education and training ofintermediaries of securities market.

Prohibiting fraudulent and unfair trade practicesrelating to the securities market.

Prohibiting insider trading in securities.

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REGISTRATION OF INTERMEDIARIES The intermediaries and person associated with

securities market shall buy , sell or deal in securitiesafter obtaining a certificate of Registration from SEBI,as required by section 12

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SEBI RULESSEBI( Stock Brokers & sub-Brokers) Rules, 1992.

SEBI (Stock Brokers & sub-Brokers) Rgulations,1992.

SEBI ( Insider Trading) Regulations,1992.

SEBI ( Prohibition of Fraudulent and Unfair TradePractices Relating to the Securities Markets)Regulations,1995

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