SEBI ACT 1992 Ebooklet PDF

SEBI Glossary #1
SEBI ACT 1992

Seven chapters and 35 sections the SEBI Act governs
all the Stock Exchanges and the Securities Transactions
in India.
CHAPTERS of SEBI ACT 1992-
CHAPTER I
Preliminary
CHAPTER II
Establishment of the Securities and Exchange
Board of India
CHAPTER III
Transfer of Assets, Liabilities, etc., of the Existing
Securities and Exchange Board to the Board
CHAPTER IV
Powers and Functions of the Board
CHAPTER V
Registration Certificate
CHAPTER VA
Prohibition of Manipulative and Deceptive Devices,
Insider Trading and Substantial Acquisition of
Securities or Control
CHAPTER VI
Finance, Accounts and Audit
Course by : MR. SUSHEEL A RAGADE (Ex. Manager Reserve Bank of India) BE (E&T), MBA (Finance), NET JRF (Management), NET JRF
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Enlight Education | SEBI Act 1992
CHAPTER VIA
Penalties and Adjudication
CHAPTER VIB
Establishment, Jurisdiction, Authority and
Procedure of Appellate Tribunal
CHAPTER VII
Miscellaneous
IMPORTANT SECTIONS of SEBI ACT 1992 are-
Section 3
The establishment and incorporation of Board
Section 4
The management of the Board
Section 5
Term of office and conditions of service of Chairman
and members of the Board
Section 6
The removal of the member of the office
Section 7
Regarding meetings
Section 8
Proceeding of the Board with respect to any vacancy
of the board
Section 10
Transfer of Assets, Liabilities etc. of the existing
Securities and Exchange Board to the Board
Section 11
The functions and duties of the Securities Exchange
Board of India
Section 12
Registration of stock brokers, sub-brokers, share
transfer agents, etc.
Section 15
Provisions related with penalties
Some important rules/regulations/guidelines
prescribed by the SEBI are given hereunder:
1. SEBI (Issue of Capital and Disclosure Requirements)
Regulations, 2009
2. SEBI (Central Listing Authority) Regulations, 2003
3. SEBI (Delisting of Securities) Guidelines, 2003
4. SEBI (Employees Stock Option Scheme and
Employees Stock Purchase Scheme) Guidelines,
1999
5. SEBI (Issue of Sweat Equity) Regulations, 2002
6. SEBI (Buy-Back of Securities) Regulations, 1998
7. SEBI (Substantial Acquisition of Shares and
Takeover) Regulations, 1997
8. SEBI (Prohibition of Fraudulent and Unfair

Trade Practices relating to Securities Markets)
Regulations, 2003
9. SEBI (Prohibition of Fraudulent and Unfair
Trade Practices relating to Securities Markets)
Regulations, 1995
10. SEBI (Mutual Funds) Regulations, 1996
11. SEBI (Collective Investment Schemes) Regulations,
1999
12. SEBI Guidelines for Foreign Institutional Investors
13. SEBI (FIIs) Regulations, 1995
14. SEBI (Venture Capital Funds) Regulations, 1996
15. SEBI (Foreign Venture Capital Funds) Regulations
16 SEBI (Depositories and Participants) Regulations,
1996
17. SEBI (Custodian of Securities) Regulations, 1996
18. SEBI (Credit Rating Agencies) Regulations, 1999
19. SEBI (Merchant Bankers) Rules, 1992
20. SEBI (Merchant Bankers) Regulations, 1992/SEBI
(Registrars to an issue and Share Transfer Agents)
Rules, 1993
21. SEBI (Registrars to an issue and Share Transfer
Agents) Regulation, 1993
22. SEBI (Underwriters) Rules, 1993
23. SEBI (Underwriters) Regulations, 1993
24. SEBI (Debenture Trustees) Rules, 1993
25. SEBI (Debenture Trustees) Regulations, 1993/
SEBI (Bankers to an Issue) Rules, 1994

26. SEBI (Bankers to an Issue) Regulations, 1994
27. SEBI (Stock Brokers and Sub-Brokers) Rules, 1992
28. SEBI (Stock Brokers and Sub-Brokers) Regulations,
1992
29. SEBI (Portfolio Manager) Rules, 1993
30. SEBI (Portfolio Manager) Regulations, 1993
31. SEBI (Ombudsman) Regulations, 2003.
SCHEDULES under SECURITIES AND EXCHANGE
BOARD OF INDIA (ISSUE OF CAPITAL AND
DISCLOSURE REQUIREMENTS) REGULATIONS,
2009
Schedule I
Inter-se Allocation of Responsibilities
Schedule II
Format of Agreement between Lead Merchant
Bankers to the Issue and Issuer/Issuing Company
Schedule III
Mandatory Collection Centres
Schedule IV
Fees to be paid along with Offer Document (Includes
two parts)
Part A : Fees to be Paid along with Draft Offer
Document or in case of a Fast Track Issue, along
with Offer Document
Part B : Fees to be paid along with Updated Offer
Document
Schedule V
Manner of Submission of Soft Copy of Draft Offer
document and Offer Document to the Board
Schedule VI
Formats of Due Diligence Certificates (Contains Six
forms)
Form A : Format of Due Diligence Certificate to be

Given by Lead Merchant Banker along with Draft
Offer Document
Form B : Format of Due Diligence Certificate to be
given by Debenture Trustee along with Draft Offer
Document
Form C : Format of Due Diligence Certificate to be
given by Merchant Banker at the Time of Registering
Offer Document with the Registrar of Companies/
Filing Letter of Offer with the Designated Stock
Exchange
Form D : Format of Due Diligence Certificate to
be given by Merchant Banker Immediately Before
Opening of the Issue
Form E : Format of Due Diligence Certificate to

be given by Merchant Banker after Opening of the
Issue but Before Closure of Subscription
Form F : Additional Confirmations/ Certification

to be given by Merchant Banker in Due Diligence
Certificate to be given along with Offer Document
for Fast Track Issue
Form G : Format of Due Diligence Certificate to be

given by Merchant Banker along with Final Post
Issue Report
Schedule VII
Nature of Updation/ Changes in the Offer Document
and Consequent Steps therein Requiring Filing of
Updated Offer Document
Schedule VIII
Disclosures in Offer Document, Abridged Prospectus
and Abridged Letter of Offer (Contains Six parts)
Part A : Disclosures in Red Herring Prospectus,

Shelf Prospectus and Prospectus
Part B : Certain Disclosures Not Mandatory in case
of Fast Track Public Issue
Part C : Certain Disclosures Not Mandatory in case

of Further Public Offer
Part D : Disclosures in Abridged Prospectus

Part E : Disclosures in Letter of Offer
Part F : Disclosures in Abridged Letter of Offer

Schedule IX
Format of Report to be submitted by Monitoring
Agency
Schedule X
Facilities or Services included in the term
“Infrastructure Sector”
Schedule XI
Book Building Process (Contains Four parts)
Part A : Book Building Process Requirements

Part B : Format of Bid Data displayed on Stock

Exchange
Part C : Illustration regarding Allotment to Qualified

Institutional Buyers other than Anchor Investors
Part D : Alternate method of book building

Schedule XII
Format of Report for Green Shoe Option
Schedule XIII
Formats of Advertisements for Public Issue
(Contains Three parts)
Part A : Format of Pre-Issue Advertisement for

Public Issue (Fixed Price/ Book built)
Part B : Format of Issue Opening Advertisement for


Part C : Format of Issue Closing Advertisement for

Schedule XIV
Illustration Explaining Minimum Application Size
Schedule XV
Illustration Explaining Procedure of Allotment
Schedule XVI
Formats of Post Issue Reports (Contains Four parts)
Part A : Format of Initial Post Issue Report for

Public Issue
Part B : Format of Initial Post Issue Report for
Rights Issue
Part C : Format of Final Post Issue Report for Public
Issue
Part D : Format of Final Post Issue Report for Rights

Issue
Schedule XVII
Format of Underwriting Devolvement Statement
Schedule XVIII
Disclosures in Placement Document
Schedule XIX
Disclosures in Prospectus and Abridged Prospectus
for Issue of Indian Depository Receipts (Contains
Three parts)
Part A : Disclosures in Prospectus for Issue of

Indian Depository Receipts
Part B : Disclosures in Abridged Prospectus for

Issue of Indian Depository Receipts
Part C : Format of the Due Diligence Certificate to
be filed by the Lead Manager For IDR Issues
Schedule XX
Amendments to Other Regulations
Important Sections of Securities Laws (Amendment)
Bill, 2003
Section 23A
Failure to furnish information, books etc. or
maintain books, records etc. as required under
listing agreement or byelaws of an exchange
Section 23B
Failure to enter into an agreement with client
Section 23C
Failure to redress the grievances of investors by a
broker, sub-broker, a listed or proposed to be
listed company, after being called upon to do so by
SEBI or Exchange
Section 23F
Dematerialisation in excess of the listed securities
Section 23G
Failure or neglect by an Exchange to furnish
periodical returns or to comply with any direction
of SEBI.

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SEBI Glossary #1

SEBI ACT 1992

8. SEBI (Prohibition of Fraudulent and Unfair

SEBI (Bankers to an Issue) Rules, 1994

Form E : Format of Due Diligence Certificate to

Part C : Certain Disclosures Not Mandatory in case

Public Issue (Fixed Price/ Book built)

Part B : Disclosures in Abridged Prospectus for

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