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REGULATORY FRAMEWORK under SEBI

Discuss REGULATORY FRAMEWORK under SEBI within the Financial Management ( FM ) forums, part of the Resolve Your Query - Get Help and discuss Projects category; REGULATORY FRAMEWORK under SEBI The four main legislations governing the securities market are: (a) the SEBI Act, 1992 which establishes ...

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Sunanda K. Chavan
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REGULATORY FRAMEWORK under SEBI - September 20th, 2010

REGULATORY FRAMEWORK under SEBI

The four main legislations governing the securities market are:

(a) the SEBI Act, 1992 which establishes SEBI to protect investors and develop and regulate securities market;

(b) the Companies Act, 1956, which sets out the code of conduct for the corporate sector in relation to issue, allotment and transfer of securities, and disclosures to be made in public issues;

(c) the Securities Contracts (Regulation) Act, 1956, which provides for regulation of transactions in securities through control over stock exchanges; and

(d) the Depositories Act, 1996 which provides for electronic maintenance and transfer of ownership of demat securities.

Government has framed rules under the SCRA, SEBI Act and the Depositories Act. SEBI has framed regulations under the SEBI Act and the Depositories Act for registration and regulation of all market intermediaries, and for prevention of unfair trade practices, insider trading, etc.

Under these Acts, Government and SEBI issue notifications, guidelines, and circulars which need to be complied with by market participants.

The SROs like stock exchanges have also laid down their rules of game.

The responsibility for regulating the securities market is shared by Department of Economic Affairs (DEA), Department of Company Affairs (DCA), Reserve Bank of India (RBI) and SEBI.

The activities of these agencies are co-ordinated by the High Level Committee on Capital Markets. Most of the powers under the SCRA are exercisable by DEA while a few others by SEBI.

The powers of the DEA under the SCRA are also con-currently exercised by SEBI. The powers in respect of the contracts for sale and purchase of securities, gold related securities, money market securities and securities derived from these securities and ready forward contracts in debt securities are exercised concurrently by RBI.

The SEBI Act and the Depositories Act are mostly administered by SEBI. The rules and regulations under the securities laws are administered by SEBI.


The powers under the Companies Act relating to issue and transfer of securities and non-payment of dividend are administered by SEBI in case of listed public companies and public companies proposing to get their securities listed.

The SROs ensure compliance with their own rules as well as with the rules.


SEBI also has two advisory committees for primary and secondary market, to provide advisory inputs in framing policies and regulations. These committees are constituted from among the market players, recognized investor associations and eminent persons associated with capital markets.

These committees are non-statutory and their advise is only recommendatory in nature.
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Business Education
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Re: REGULATORY FRAMEWORK under SEBI - June 30th, 2015

Purpose and Role of SEBI

1. Issuers:

2. Investors:

3. Intermediaries:
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Rose Marry
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Re: REGULATORY FRAMEWORK under SEBI - April 21st, 2016

Quote:
Originally Posted by sunandaC View Post
REGULATORY FRAMEWORK under SEBI

The four main legislations governing the securities market are:

(a) the SEBI Act, 1992 which establishes SEBI to protect investors and develop and regulate securities market;

(b) the Companies Act, 1956, which sets out the code of conduct for the corporate sector in relation to issue, allotment and transfer of securities, and disclosures to be made in public issues;

(c) the Securities Contracts (Regulation) Act, 1956, which provides for regulation of transactions in securities through control over stock exchanges; and

(d) the Depositories Act, 1996 which provides for electronic maintenance and transfer of ownership of demat securities.

Government has framed rules under the SCRA, SEBI Act and the Depositories Act. SEBI has framed regulations under the SEBI Act and the Depositories Act for registration and regulation of all market intermediaries, and for prevention of unfair trade practices, insider trading, etc.

Under these Acts, Government and SEBI issue notifications, guidelines, and circulars which need to be complied with by market participants.

The SROs like stock exchanges have also laid down their rules of game.

The responsibility for regulating the securities market is shared by Department of Economic Affairs (DEA), Department of Company Affairs (DCA), Reserve Bank of India (RBI) and SEBI.

The activities of these agencies are co-ordinated by the High Level Committee on Capital Markets. Most of the powers under the SCRA are exercisable by DEA while a few others by SEBI.

The powers of the DEA under the SCRA are also con-currently exercised by SEBI. The powers in respect of the contracts for sale and purchase of securities, gold related securities, money market securities and securities derived from these securities and ready forward contracts in debt securities are exercised concurrently by RBI.

The SEBI Act and the Depositories Act are mostly administered by SEBI. The rules and regulations under the securities laws are administered by SEBI.


The powers under the Companies Act relating to issue and transfer of securities and non-payment of dividend are administered by SEBI in case of listed public companies and public companies proposing to get their securities listed.

The SROs ensure compliance with their own rules as well as with the rules.


SEBI also has two advisory committees for primary and secondary market, to provide advisory inputs in framing policies and regulations. These committees are constituted from among the market players, recognized investor associations and eminent persons associated with capital markets.

These committees are non-statutory and their advise is only recommendatory in nature.
Hello sunanda,

Here I am up-loading Proposed regulatory framework for issuance of debt securities by Municipalities - SEBI, please check attachment below.
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