Forms for Registration of Stock Brokers and Clearing Members
Forms for Registration of Stock Brokers and Clearing Members
- Under Schedule I of the Securities and Exchange Board of India (Stock Brokers) Regulations, 1992 (since repealed), the application forms for registration of stock brokers and clearing members, along with the certificate of registration, were prescribed.
- The Securities and Exchange Board of India (Stock Brokers) Regulations, 2026 now provide that the relevant application forms and certificate of registration shall be specified by the Board or by the recognised stock exchange. Accordingly, the application forms and certificate of registration are specified in the Annexure to this circular.
- The provisions of this circular shall come into force retrospectively from the date of notification of the Securities and Exchange Board of India (Stock Brokers) Regulations, 2026, i.e., January 07, 2026.
- Stock Exchanges and Clearing Corporations are directed to:
4.1. Bring the contents of this circular to the notice of their members/participants and disseminate the same on their websites.
4.2. Carry out necessary amendments to the relevant Bye-laws, Rules, and Regulations to implement the above decision. - This circular is issued in exercise of the powers conferred under Section 11(1) of Chapter IV of the Securities and Exchange Board of India Act, 1992, read with Regulation 51 of the Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2018, to protect the interests of investors in securities and to promote the development and regulation of the securities market.
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