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The Securities Contracts (Regulation) Act, 1956 (Bare Act)/ Universal Law Publishing

Contributor(s): Universal Law PublishingMaterial type: Text

TextPublication details: New Delhi: Universal Law Publishing, 2010Description: v, 48 pSubject(s): Bare ActDDC classification: 343.54

Contents:

THE SECURITIES CONTRACTS (REGULATION) ACT, 1956 Tlie Securities Contracts (Regulation) Amendment Act, 2007 (27 of 2007) ^ Introduction PRELIMINARY Sections , 1. Short title, extent and commencement 2. Definitions 2A. Interpretation of certain words and expressions RECOGNISED STOCK EXCHANGES 3. Application for recognition of stock exchanges 4. Grant of recognition to stock exchanges 4A. Corporatisation and demutualisation of stock exchanges 4B. Procedure for corporatisation and demutualisation 5. Withdrawal of recognition 6. Power of Central Government to call for periodical returns or direct inquiries to be made 7. Annual reports to be furnished to Central Government by stock exchanges Power of recognised stock exchange to make rules restricting voting rights, etc. Power of Central Government to direct rules to be made or to make rules / Clearing corporation Power of recognised stock exchanges to make bye-laws 10. Power of Central Government to make or amend bye-laws of recognised stock exchanges Power of Central Government to supersede governing body of a recognised stock exchange Power to suspend business of recognised stock exchanges Power to issue directions CONTRACTS AND OPTIONS IN SECURITIES Contracts in notified areas illegal in certain circumstances ISA. Additional trading floor 14. Contracts in notified areas' to be-void in certain circumstances 15. Members may not act as principals in certain circumstances . 16. Power to prohibit contracts in certain cases 17. Licensing of dealers in seciuities in certain areas 17A. Public issue and listing of securities referred to in sub-clause (ie), of clause (h) of section 2 18. Exclusion of spot delivery contracts from sections 13, 14, 15 and 17 ISA. Contracts in derivative 19. Stock exchanges other than recognised stock exchanges prohibited LISTING OF SECURITIES 21. Conditions for listing • • 21 A. Delisting of securities 22. Right of appeal against refusal of slock exchanges to list securities of public companies 22A. Right of appeal to Securities Appellate Tribunal against refusal of stock exchange to list securities of public companies 22B. Procedure and powers of Securities Appellate Tribunal 22C. Right to legal representation 22D. Limitation 22E. Civil court not to have jurisdiction 22F. Appeal to Supreme Court PENALTIES AND PROCEDURE 23. .Penalties • • ' • 23A. Penalty^ for failure to furnish information, return, etc. 23B. Penalty for failure by any person to enter into an agreement with clients . 23C. Penalty for failure to redress Investors' grievances 23D. Penalty for failure to segregate securities or moneys of client or clients 23E. Penalty for failure to comply with provisions of listing conditions or delisting conditions or grounds 23F. Penalty for excess dematerialisation or delivery of unlisted securities 23G. Penalty for failure to himish periodical returns, etc. 23H. Penalty for contravention where no separate penalty has been provided 23-1. Power to adjudicate 23J.' Factors to be taken into account by the adjudicating officer . 23K. Crediting sums realised by way of penalties to Consolidated Fund of India 23L. Appeal to Securities Appellate Tribunal 23M. Offences 23N. Composition of certain offences 23-0. Power to grant immunity 24. Offences by companies 25. Certain offences to be cognizable 26. Cognizance of offences by courts MISCELLANEOUS 27. Title to dividends 27A. Right to receive income from collective investment scheme 27B. Right to receive income from mutual fimd , 28. Act not to apply in certain cases 29. Protection of action taken in good faith 29A. Power to delegate 30. Power to make rules 31. Power Securities and Exchange Board of India to make regulations THE SECURITIES CONTRACTS (REGULATION) (APPEAL TO SECURITIES APPELLATE TRIBUNAL) RULES, 2000 Rules 1. Short title and commencement . • / 2. Definitions 3. Limitation for filing appeal 4. Form and procedure of appeal 5. Sittings of Appellate Tribunal 6. Language of Appellate Tribunal 7. Appeal to be in writing 8. Presentation and scrutiny of memorandum of appeal 9. Payment ofiFees 10. Contents of memorandum of appeal 11. Documents to accompany memorandum of appeal 12. Plural remedies 13. Notice of appeal to the respondent 14. Filing of reply to the appeal and other documents by the respondent 15. Date of hearing to be notified 16. Hearing of appeal 17. Dress regulations for the Presiding Officer and for the representatives of the parties 18. Order to be signed and dated 19. Publication of orders 20. Communication of orders 21. Orders and directions in certain cases 22. Fee for inspection of records and obtaining copies thereof 23. Working hours of the Appellate Tribunal 24. Holiday 25. Functions of the Registrar 26. Additional functions and duties of Registrar 27. Seal and emblem FORM.—Memorandum of Appeal THE SECURITIES CONTRACTS (REGULATION) (PROCEDURE FOR HOLDING INQUIRY AND IMPOSING PENALTIES BY ADJUDICATING OFFICER) RULES, 2005 1. Short title and commencement 2. Definitions 3. Appointment of adjudicating officer for holding inquiry 4. Holding of inquiry * 5. Order of the adjudicating officer 6. Copy of the Order 7. Service of notices and orders

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Item type	Current library	Call number	Status	Date due	Barcode	Item holds
Bare Acts and Legal Education Series	Central Library, Sikkim University General Book Section	343.54 UNI/S (Browse shelf(Opens below))	Not for loan		P12525

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Previous	343.54 UNI/R The Central Excise Act,1944 (Bare Act)/	343.54 UNI/S The Sashastra Seema Bal 2007 (Bare Act)/	343.54 UNI/S The Securities and Exchange Board of India Act, 1992 (Bare Act)/	343.54 UNI/S The Securities Contracts (Regulation) Act, 1956 (Bare Act)/	343.54 UNI/S The Securitisation and Reconstruction of Financial Assets and Enforcement of Security Intrest Act, 2002 (Bare Act)/	343.54 UNI/S The Industrial Companies Special Provisions Act,1985 (Bare Act)/	343.54 UNI/S The State Bank of India Act,1955 (Bare Act)/	Next

THE SECURITIES CONTRACTS (REGULATION) ACT, 1956
Tlie Securities Contracts (Regulation) Amendment Act, 2007 (27 of 2007) ^
Introduction
PRELIMINARY
Sections ,
1. Short title, extent and commencement
2. Definitions 2A. Interpretation of certain words and expressions
RECOGNISED STOCK EXCHANGES 3. Application for recognition of stock exchanges 4. Grant of recognition to stock exchanges 4A. Corporatisation and demutualisation of stock exchanges 4B. Procedure for corporatisation and demutualisation
5. Withdrawal of recognition 6. Power of Central Government to call for periodical returns or direct inquiries to be made 7. Annual reports to be furnished to Central Government by stock exchanges Power of recognised stock exchange to make rules restricting voting rights, etc.
Power of Central Government to direct rules to be made or
to make rules / Clearing corporation Power of recognised stock exchanges to make bye-laws 10. Power of Central Government to make or amend bye-laws of recognised stock exchanges Power of Central Government to supersede governing body of a recognised stock exchange Power to suspend business of recognised stock exchanges
Power to issue directions
CONTRACTS AND OPTIONS IN SECURITIES Contracts in notified areas illegal in certain circumstances ISA. Additional trading floor
14. Contracts in notified areas' to be-void in certain circumstances
15. Members may not act as principals in certain circumstances . 16. Power to prohibit contracts in certain cases 17. Licensing of dealers in seciuities in certain areas 17A. Public issue and listing of securities referred to in sub-clause (ie), of clause (h) of section 2 18. Exclusion of spot delivery contracts from sections 13, 14, 15 and 17
ISA. Contracts in derivative 19. Stock exchanges other than recognised stock exchanges prohibited

LISTING OF SECURITIES
21. Conditions for listing • •
21 A. Delisting of securities 22. Right of appeal against refusal of slock exchanges to list securities of public companies 22A. Right of appeal to Securities Appellate Tribunal against refusal of stock exchange to list securities of public companies 22B. Procedure and powers of Securities Appellate Tribunal 22C. Right to legal representation
22D. Limitation
22E. Civil court not to have jurisdiction 22F. Appeal to Supreme Court
PENALTIES AND PROCEDURE
23. .Penalties • • ' • 23A. Penalty^ for failure to furnish information, return, etc. 23B. Penalty for failure by any person to enter into an agreement with clients . 23C. Penalty for failure to redress Investors' grievances 23D. Penalty for failure to segregate securities or moneys of client or clients 23E. Penalty for failure to comply with provisions of listing conditions or delisting conditions or grounds
23F. Penalty for excess dematerialisation or delivery of unlisted securities 23G. Penalty for failure to himish periodical returns, etc. 23H. Penalty for contravention where no separate penalty has been provided
23-1. Power to adjudicate 23J.' Factors to be taken into account by the adjudicating officer . 23K. Crediting sums realised by way of penalties to Consolidated Fund of India 23L. Appeal to Securities Appellate Tribunal
23M. Offences
23N. Composition of certain offences
23-0. Power to grant immunity
24. Offences by companies
25. Certain offences to be cognizable 26. Cognizance of offences by courts
MISCELLANEOUS
27. Title to dividends
27A. Right to receive income from collective investment scheme
27B. Right to receive income from mutual fimd ,
28. Act not to apply in certain cases
29. Protection of action taken in good faith
29A. Power to delegate
30. Power to make rules 31. Power Securities and Exchange Board of India to make regulations

THE SECURITIES CONTRACTS (REGULATION) (APPEAL
TO SECURITIES APPELLATE TRIBUNAL) RULES, 2000
Rules
1. Short title and commencement . • /
2. Definitions
3. Limitation for filing appeal 4. Form and procedure of appeal 5. Sittings of Appellate Tribunal 6. Language of Appellate Tribunal 7. Appeal to be in writing 8. Presentation and scrutiny of memorandum of appeal 9. Payment ofiFees 10. Contents of memorandum of appeal 11. Documents to accompany memorandum of appeal
12. Plural remedies 13. Notice of appeal to the respondent 14. Filing of reply to the appeal and other documents by the respondent 15. Date of hearing to be notified
16. Hearing of appeal 17. Dress regulations for the Presiding Officer and for the representatives of the parties 18. Order to be signed and dated
19. Publication of orders
20. Communication of orders
21. Orders and directions in certain cases 22. Fee for inspection of records and obtaining copies thereof 23. Working hours of the Appellate Tribunal 24. Holiday
25. Functions of the Registrar
26. Additional functions and duties of Registrar
27. Seal and emblem FORM.—Memorandum of Appeal
THE SECURITIES CONTRACTS (REGULATION) (PROCEDURE FOR HOLDING INQUIRY AND IMPOSING PENALTIES BY ADJUDICATING OFFICER) RULES, 2005
1. Short title and commencement
2. Definitions 3. Appointment of adjudicating officer for holding inquiry 4. Holding of inquiry * 5. Order of the adjudicating officer 6. Copy of the Order
7. Service of notices and orders

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