sebi:WTM/MSS/MIRSD/56/2010
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Facts / Headnote
Proceedings initiated vide Order dated August 11, 2005 against the three stock brokers disposed of without any instructions; brokers advised to pay fees as per the Regulations in future.
Parties
- three stock brokers
Holding
The proceedings initiated against the three stock brokers by Order dated August 11, 2005 are disposed of without any instructions. The brokers are advised to pay the fees as per the Regulations in future.
Full text
Regulations, 2008, hereby dispose of the proceedings initiated vide Order dated August 11, 2005 against the said three stock brokers without any instructions. I, however, advise these three stock brokers to pay the fees as per the Regulations in future.
6. A copy of this Order shall be served on UPSE of which these three stock brokers are members. 7. This Order shall come into force with immediate effect.
DATE: June 25, 2010 M. S. SAHOO PLACE: MUMBAI WHOLE TIME MEMBER SECURITIES AND EXCHANGE BOARD OF INDIA
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Source: SecMarx — sebi:WTM/MSS/MIRSD/56/2010. 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.