SEBI Circulars

Circulars 2015

Circular Name Date Short Discription Download PDF
Exit Order 2015-04-15 In terms of SEBI order dated April 13, 2015, the Pune Stock Exchange Ltd. has been Voluntarily De-Recognized as Regional Stock Exchange. Consequently the process for change in name is initiated. Click Here For Download

Circulars 2014

Circular Name Date Short Discription Download PDF
CIR/CFD/DIL/4/2014 2014-08-01 Monitoring of Compliance by Stock Exchanges Click Here For Download
CIR/MRD/DP/23/2014 2014-07-24 Clarification on position limits of domestic institutional investors for currency derivatives contracts Click Here For Download
CIR/MIRSD/ 2/2014 2014-06-30 Inter-Governmental Agreement with United States of America under Foreign
Accounts Tax Compliance Act - Registration
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CIR/CFD/POLICYCELL/3/2014 2014-06-27 SEBI Circulars No. CIR/CFD/DIL/3/2013 dated January 17, 2013, CIR/CFD/DIL/7/2013 dated May 13, 2013 and CIR/CFD/POLICYCELL/14/2013 dated November 29, 2013 - Extension of time line for alignment Click Here For Download
CIR/MRD/DP/20/2014 2014-06-20 Participation of FPIs in the Currency Derivatives segment and
Position limits for currency derivatives contracts
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CIR/IMD/FIIC/11/2014 2014-06-16 Know Your Client (KYC) requirements for Foreign Portfolio Investors (FPIs). Click Here For Download
CIR/MRD/DP/19/2014 2014-06-03 Review of the Securities Lending and Borrowing (SLB) Framework Click Here For Download
CIR/MRD/DSA/18/2014 2014-05-22 Companies exclusively listed on De-recognized/Non-operational Stock Exchanges Click Here For Download
CIR/MRD/DP/15/2014 2014-05-15 Risk management framework for Foreign Portfolio Investors (FPI) under the SEBI (Foreign Portfolio Investors) Regulations, 2014 Click Here For Download
CIR/CFD/POLICY CELL/2/2014 2014-04-17 Corporate Governance in listed entities - Amendments to Clauses 35B and 49 of the Equity Listing Agreement Click Here For Download
CIR/MRD/DP/ 08 /2013 2014-02-11 Establishment of Connectivity with both depositories NSDL and CDSL – Companies eligible for shifting from Trade for Trade Settlement (TFTS) to Normal Rolling Settlement Click Here For Download
CIR/MRD/DP/07/2014 2014-02-11 Safeguards to avoid trading disruption in case of failure of software vendor Click Here For Download
CIR/MRD/DP/ 06 /2014 2014-02-07 Testing of software used in or related to Trading and Risk Management Click Here For Download
CIR/MRD/DP/04/2014 2014-02-06 Individual scrip wise price bands on non-F&O eligible scrip's in Index Derivatives Click Here For Download
CIR/MRD/DRMNP/2/2014 2014-01-20 FII Position Limits in Exchange Traded Interest Rate Futures (IRF) Click Here For Download
CIR/IMD/FIIC/02/2014 2014-01-08 Operational Guidelines for Designated Depository Participants Click Here For Download
CIR/IMD/DF/1/2014 2014-01-07 Reporting of Trades in Securitised Debt Instruments in Trade Reporting Platforms and Clearing and Settlement of trades in Securitised Debt Instruments through Clearing Corporations Click Here For Download

Circulars 2013

Circular Name Date Short Discription Download PDF
CIR/MIRSD/ 13 /2013 2013-12-26 Know Your Client Requirements Click Here For Download
CIR/MRD/DP/38 /2013 2013-12-19 Rationalization of Periodic Call Auction for Illiquid Scrips. Click Here For Download
CIR/MRD/DRMNP/37/2013 2013-12-19 Deposit Requirements for members of the Debt Segment Click Here For Download
CIR/MRD/DP/ 36 /2013 2013-12-16 Establishment of Connectivity with both depositories NSDL and CDSL – Companies eligible for shifting from Trade for Trade Settlement (TFTS) to Normal Rolling Settlement Click Here For Download
CIR/MRD/DRMNP/35/2013 2013-12-05 Exchange Traded Cash Settled Interest Rate Futures (IRF) on 10-Year Government of India Security Click Here For Download
CIR/MRD/DP/ 12 /2013 2013-04-08 Establishment of Connectivity with both
depositories NSDL and CDSL
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CIR/OIAE/1/2013 2013-04-17 Redress of investor grievances through
SEBI Complains Redress System(SCORES)
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CIR/MRD/DP/ 15 /2013 2013-04-29 Establishment of Connectivity with both
depositories NSDL and CDSL
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CIR/CFD/DIL/7/2013 2013-05-13 SEBI Circular No. CIR/CFD/DIL/3/2013
dated January 17, 2013 -
Amendments to SEBI
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CIR/MRD/DP/ 16 /2013 2013-05-21 Broad guidelines on Algorithmic Trading Click Here For Download
CIR/CFD/DIL/8/2013 2013-05-21 Scheme of Arrangement under the Companies Act, 1956 – Revised
requirements for the Stock Exchanges and
Listed Companies -
Clarification
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CIR/MRD/DP/ 17 /2013 2013-05-30 Comprehensive guidelines on Offer For
Sale (OFS) of Shares by Promoters through
the Stock Exchange Mechanism
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CIR/MRD/DP/ 18 /2013 2013-05-30 Review of the Securities Lending and
Borrowing (SLB) framework
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CIR/CFD/DIL/9/2013 2013-06-05 Clarification on SEBI's Circular dated
August 13, 2012 providing for the "Manner
of Dealing with Audit Reports filed by
Listed Companies"
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CIR/MRD/DP/ 19 /2013 2013-06-11 Establishment of Connectivity with both
depositories NSDL and CDSL – Companies
eligible for shifting from Trade for
Trade Settlement (TFTS) to Normal Rolling
Settlement
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CIR/MRD/ICC/20/2013 2013-07-05 Arbitration Mechanism in Stock Exchanges Click Here For Download
CIR/MRD/ICC/21/2013 2013-07-05 Arbitration Mechanism in Stock Exchanges Click Here For Download
CIR/MRD/DP/ 22 /2013 2013-07-08 Revised Position Limits for Exchange
Traded Currency Derivatives
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CIR/MRD/DP/ 23 /2013 2013-07-30 Establishment of Connectivity with both depositories NSDL and CDSL Click Here For Download
CIR/IMD/FIIC/13 /2013 2013-08-13 Investment by Qualified Foreign Investors
(QFIs) in “to be listed” Indian
Corporate Debt Securities
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CIR/MRD/DP/24/2013 2013-10-19 Testing of software used in or related to
Trading and Risk Management
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CIR/MIRSD/5/2013 2013-08-27 General Guidelines for dealing with
Conflicts of Interest of Intermediaries
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CIR/MRD/DP/ 25 /2013 2013-09-03 Index based market-wide circuit breaker
mechanism
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CIR/MRD/DRMNP/26/2013 2013-09-04 Principles of Financial Market
Infrastructures (PFMIs)
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CIR/MIRSD/ 07 /2013 2013-09-12 Know Your Client Requirements for
Eligible Foreign Investors
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CIR/MRD/DP/ 27 /2013 2013-09-12 Risk Management Framework for Dedicated
Debt Segment on Stock Exchanges
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CIR/IMD/FIIC/15/2013 2013-09-13 Debt Allocation Mechanism for FII/QFI -
Government debt securities
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CIR/CFD/POLICYCELL/10/2013 2013-09-17 Formats for filing reports in terms of
regulations 15(i) and 20(j) of SEBI
(Buy
Back of Securities) Regulations, 1998
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CIR/MRD/DP/ 28 /2013 2013-09-24 Establishment of Connectivity with both
depositories NSDL and CDSL
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CIR/MRD/ICC/30/2013 2013-09-26 Investor Grievance Redressal Mechanism Click Here For Download
CIR/MRD/ICC/29/2013 2013-09-26 Arbitration Mechanism in Stock Exchanges Click Here For Download
CIR/MRD/ DSA / 31 /2013 2013-09-30 Amendment to bye-laws of recognised stock
exchanges with respect to

non-compliance of certain listing
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CIR/MRD/DMS/ 34 /2013 2013-11-06 Annual System Audit of Stock Brokers / Trading Members Click Here For Download
CIR/CFD/POLICYCELL/13/2013 2013-11-18 Compliance with the provisions of Equity Listing Agreement by listed
companies – Monitoring by Stock Exchanges
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CIR/CFD/POLICYCELL/14/2013 2013-11-29 SEBI Circulars No. CIR/CFD/DIL/3/2013 dated January 17, 2013 and -
CIR/CFD/DIL/7/2013 dated May 13, 2013 - Extension of time line for
alignment
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CIR/MIRSD/8/2013 2013-09-30 Simplification of registration
requirements for Stock Brokers
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CIR/MRD/DSA/32/2013 2013-10-04 Facilitating transaction in Mutual Fund
schemes through the Stock

Exchange Infrastructure.
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CIR/MIRSD/ 09/ 2013 2013-10-08 Know Your Client Requirements Click Here For Download
CIR/CFD/POLICYCELL/11/2013 2013-10-21 Formats under SEBI (Substantial
Acquisition of Shares and Takeovers)

Regulations, 2011(Regulations).
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CIR/IMD/DF/17/2013 2013-10-22 Centralized Database for Corporate Bonds/ Debentures Click Here For Download
CIR/CFD/DIL/12/2013 2013-10-23 General Information Document Click Here For Download
CIR/MRD/DSA/33 /2013 2013-10-24 Listing of specified securities of small
and medium enterprises on the Institutional Trading Platform in a SME
Exchange without making an initial

public offer.
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