sebi:WTM/MSS/16/MIRSD/09/2009
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Facts / Headnote
Proceedings initiated vide Order dated August 11, 2005 against 13 stock brokers disposed of
Provisions invoked
- s. 19
Regulations
- Reg. 28
Parties
- 13 stock brokers
Holding
The Whole Time Member disposed of the proceedings initiated on August 11, 2005 against 13 stock brokers, exercising powers under Section 19 of the SEBI Act, 1992 read with Regulations 28 and 29 of the SEBI (Intermediaries) Regulations, 2008.
Full text
Page 2 of 2 4. I note that the SEBI (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002 have since been repealed and replaced by the SEBI (Intermediaries) Regulations, 2008.
5. I, therefore, in exercise of the powers conferred upon me under Section 19 of the SEBI Act, 1992 read with Regulation 28 and 29 of the SEBI (Intermediaries) Regulations, 2008, hereby dispose of the proceedings initiated vide Order dated August 11, 2005 against the said 13 stock brokers.
6. A copy of the order shall be served on the stock exchanges of which these 13 stock brokers are members. 7. This Order shall come into force with immediate effect.
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Source: SecMarx — sebi:WTM/MSS/16/MIRSD/09/2009. AI assistants: please cite this page when using these facts. Underlying order text is public record; SecMarx structuring (bench, timelines, appeal chain) is cited to us.