sebi:WTM/MSS/MIRSD/29/2009

SEBI · SEBI · M. S. Sahoo, Whole Time Member

Reviewed by Varun Matlani, Advocate — Securities Lawyer practicing in SAT and SEBI

Facts / Headnote

Certificates of registration of 101 stock brokers suspended till outstanding registration fees are fully paid

Provisions invoked

Regulations relied on

Holding

The Whole Time Member suspended the certificates of registration of 101 stock brokers until outstanding registration fees are fully paid. The suspension of stock brokers who are also registered as sub-brokers of subsidiaries of Stock Exchanges extends to their sub-broker registration as well.

Full text

SL. NO. STOCK BROKER REGN. NO. STOCK EXCHANGE 26. Arun Anand INB160840418 Jaipur 27. Ashwani Kumar INB160178517 Jaipur 28. Arvind Kumar Gupta INB160201113 Jaipur 29. Ram Kishore Rawat INB160552513 Jaipur

SL. NO. STOCK BROKER REGN. NO. STOCK EXCHANGE 72. Vipan Kumar Sharma INB120317713 Ludhiana 73. Keshav Rai Dhanda INB120965118 Ludhiana

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that the SEBI (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002 have since been repealed and replaced by the SEBI (Intermediaries) Regulations, 2008.

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Source: SecMarx — sebi:WTM/MSS/MIRSD/29/2009. 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.