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............................................................................................................................. Contents Volume 1 Division I - Securities Exchange Board of India Act, 1992;Securities Contracts (Regulation) Act & Rules; Depositories Act,1996 1. The Securities and Exchange Board of India Act, 1992 2. The Securities Contracts (Regulation) Rules, 1956 3. The Securities Contracts (Regulation) Rules, 1957 4. The Securities Contracts (Reference to the Company Law Board Rules, 1986 5. The Securities Contracts (Regulation) Appeal to Securities Appellate Tribunal) Rules, 2000 6. The Securities Contracts (Regulation) (Procedure for Holding Inquiry and Imposing Penalties by Adjudicating Officer) Rules, 2005 7. The Securities Contracts (Regulation) (Manner of Increasing and Maintaining| Public Shareholding in Recognised Stock Exchange) Regulations, 2006 8. The Depositories Act, 1996 9. Depositories (Procedure for Holding Inquiry and Imposing Penalties by Adjudicating Officer) Rules, 2005 Division II - SEBI Guidelines, Rules, Regulations, etc. 1. SEBI Disclosure & Investor Protection Guidelines, 2000 1A. Guidelines for Preferential Allotments of Shares, etc. 1B. Guidelines for Raising Foreign Equity in Existing Companies and Determining issue price of Preferential Shares 2. Compendium of Circulars to Merchant Bankers 3. Issue of Foreign Currency Convertible Bonds and Ordinary Shares (Through Depository Receipt Mechanism) Scheme, 1993 4. Guidelines on Policies and Procedures for External Commercial Borrowings for 1997 - 98 4A. Issue of Foreign Currency Exchangeable Bonds Scheme, 2008 5. Securities Lending Scheme 6. SEBI guidelines for good/bad deliveries 7. Securities and Exchange Board of India (Stock-brokers and Sub-brokers) Regulations, 1992 8. Securities and Exchange Board of India (Stock-brokers and Sub-brokers) Rules, 1992 9. Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 1992 10. Securities and Exchange Board of India (Merchant Bankers) Rules, 1992 11. Securities and Exchange Board of India (Merchant Bankers) Regulations, 1992 12. Securities and Exchange Board of India (Portfolio Managers) Rules, 1993 13. Securities and Exchange Board of India (Portfolio Managers) Regulations, 1993 14. Securities and Exchange Board of India (Appeal to Central Government) Rules, 1993 15. Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) Rules, 1993 16. Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) Regulations, 1993 17. Securities and Exchange Board of India (Underwriters) Rules, 1993 18. Securities and Exchange Board of India (Underwriters) Regulations, 1993 19. Securities and Exchange Board of India (Debenture Trustees) Rules, 1993 20. Securities and Exchange Board of India (Debenture Trustees) Regulations, 1993 21. Securities and Exchange Board of India (Annual Report) Rules, 1994 22. Securities and Exchange Board of India (Form of Annual Statement of Accounts and Records) Rules, 1994 23. Securities and Exchange Board of India (Bankers to an Issue) Rules, 1994 24. Securities and Exchange Board of India (Bankers to an Issue) Regulations, 1994 25. SEBI (Procedure for Holding Inquiry and Imposing Penalties by Adjudicating Officer) Rules, 1995 26. Regulations and guidelines for Foreign Institutional Investors Volume 2 27. Securities and Exchange Board of India (Custodian of Securities) Regulations, 1996 28. Securities and Exchange Board of India (Depositories and Participants) Regulations, 1996 29. Securities and Exchange board of India (Venture Capital Funds) Regulations, 1996 30. Securities and Exchange Board of India (Mutual Funds) Regulations, 1996 31. SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 1997 32. Securities Appellate Tribunal (Salaries and Allowances and other Conditions of service of the Officers and Employees) Rules, 1997 33. Securities Appellate Tribunal (Salaries and Allowances and other Conditions of Service of the Presiding Officer) Rules, 1997 34. SEBI (Buy-Back of Securities) Regulations, 1997 35. SEBI (Employee Stock Option Scheme and Employee Stock Purchase Scheme) Guidelines, 1999 36. SEBI (Credit Rating Agencies) Regulations, 1999 37. Private Limited Company and Unlisted Public Limited Company (Buy-back of Securities) Rules, 1999 38. SEBI (Collective Investment Schemes) Regulations, 1999 39. Securities Appellate Tribunal (Procedure) Rules, 2000 40. The Depositories (Appeal to Securities Appellate Tribunal) Rules, 2000 41. SEBI (Foreign Venture Capital Investors) Regulations, 2000 42. Requirements for brokers offering securities through WAP 43. Securities and Exchange Board of India (Procedure for Board Meetings) Regulations, 2001 44. Guidelines for Employees' Stock Option Plan or Scheme - Issued under section 17(2)(iii), Income-tax Act 45. Uniform norms for processing share transfers I. Delay in transfer of shares by companies 46. SEBI (Issue of Sweat Equity) Regulations, 2002 47. SEBI (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002 48. SEBI (Central Listing Authority) Regulations, 2003 [Repealed vide Notification No. ll/LC/GN/2007/ 1406, dated 2-1-2007] 49. SEBI (Delisting of Securities) Guidelines, 2003 50. Securities and Exchange Board of India (Informal Guidance) Scheme, 2003 51. Securities and Exchange Board of India (Prohibition of Fraudulent and Unfair Trade Practices relating to Securities Market) Regulations, 2003 52. SEBI (Ombudsman) Regulations, 2003 53. Secondary Market for Corporate Debt Securities 54. Risk Disclosure Document 55. SEBI (Central Database of Market Participants) Regulations, 2003 56. Unlisted Public Companies (Preferential Allotment) Rules, 2003 57. Unlisted Companies (Issue of Sweat Equity Shares) Rules, 2003 58. Companies (Issue of Indian Depository Receipts) Rules, 2004 59. SEBI (Self Regulatory Organisations) Regulations, 2004 60. Margin Trading and Securities Lending and Borrowing 61. SEBI (Criteria for Fit and Proper Person) Regulations, 2004 62. Securities and Exchange Board of India (STP Centralised Hub and STP Service Providers) Guidelines, 2004 63. Foreign Direct Investment in India — Transfer of Shares/Convertible Debentures by way of Sale - Simplification of Procedures 64. Securities Transaction Tax 65. General Instructions Regarding Renewal of Certificate of Registration of Intermediaries 66. Securities Appellate Tribunal (Salaries, Allowances and Other Terms and Conditions of Presiding Officer and Other Members) Rules, 2003 67. Submission of Annual Returns 68. SEBI (Regulatory Fee on Stock Exchanges) Regulations, 2006 69. SEBI (Issuing Observations on Draft Offer Documents 70. SEBI (Manner of Service ofSummons and Notices Issued by the Board) (Amendment) Regulations, 2007 71. SEBI (Certification of Associated Persons in the Securities Markets) Regulations, 2007 72. Short selling and securities lending and borrowing 73. Introduction of Direct Market Access facility 74. Securities and Exchange Board of India (Intermediaries) Regulations, 2008 75. Securities and Exchange Boardof India (Issue and Listing of Debt Securities) Regulations, 2008 76. Securities and Exchange Boardof India (Public Offer and Listing of Securitised Debt Instruments)Regulations, 2008 77. Listing Agreement of Bombay Stock Exchange ............................................................................................................................. Author Details Ravi Puliani, Advocate Mahesh Puliani, B.Com., LL.B. .............................................................................................................................
