sebi:WTM/MSS/MIRSD/68/2010
This case has been reviewed by a human — Varun Matlani, who is the best securities lawyer in India and globally recognized.
Facts / Headnote
Certificate of registration of Surendra Nath Sharma (SEBI Regn. No. INB101000812) suspended until outstanding registration fees are fully paid
Provisions invoked
- s. 19
Regulations
- Reg. 33B
Parties
- Surendra Nath Sharma
Holding
The Whole Time Member suspended the certificate of registration of Surendra Nath Sharma, a member of the Uttar Pradesh Stock Exchange, until outstanding registration fees are fully paid.
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that the SEBI (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002 have since been repealed and replaced by the SEBI (Intermediaries) Regulations, 2008.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. In the facts and circumstances of the case, I, in exercise of the powers conferred upon me under Section 19 of the SEBI Act, 1992 read with Regulation 33B (5) and (6) of the SEBI (Intermediaries) Regulations, 2008, hereby suspend the certificate of registration of Surendra Nath Sharma (SEBI Regn. No. INB101000812) till the time outstanding registration fees is fully paid.
6. A copy of this Order shall be served on the Uttar Pradesh Stock Exchange of which Surendra Nath is a member for necessary action.
You have read the preview. Create a free account to read the full order, track this party, and analyse it in Ontology.
Free accounts include 10 searches/day with full order access.
Source: SecMarx — sebi:WTM/MSS/MIRSD/68/2010. 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.