THE GAZETTE OF INDIA — THE SECURITIES AND EXCHANGE BOARD OF INDIA ACT, 1992

THE GAZETTE OF INDIA EXTRAORDINARY PART -III -SECTION 4 PUBLISHED BY AUTHORITY SECURITIES AND EXCHANGE BOARD OF INDIA NOTIFICATION Mumbai, the 19 th day of February, 2004 SECURITIES AND EXCHANGE BOARD OF INDIA (SELF REGULATORY ORGANIZATIONS) REGULATIONS, 2004 No. SEBI/LAD/DOP/3348/2004. In exercise of the powers conferred by section 30 read with clause (d) of sub-section (2) of section 11 of the Securities and Exchange Board of India Act, 1992 (15 of 1992), the Board hereby makes the following Regulations, namely:- CHAPTER -I PRELIMINARY Short title and commencement. (1) These Regulations may be called the Securities and Exchange Board of India (Self Regulatory Organizations) Regulations, 2004. These Regulations shall come into force on such date as may be specified by the Board: Provided that different dates may be specified for different provisions of these regulations and any reference in any such provision to the commencement of these regulations shall be construed as a reference to the commencement of that provision: 1 [Provided further that the provisions of these regulations shall come into force in relation to different classes of intermediaries on such dates as the Board may by notification in the Official Gazette appoint.] 1 Inserted by the SEBI (Self Regulatory Organizations) (Amendment) Regulations, 2013 w.e.f. 07.01.2013 Definitions (1) In these regulations, unless the context otherwise requires, - (a) "Act" means the Securities and Exchange Board of India Act, 1992 (15 of 1992); (b) "Board" means the Securities and Exchange Board of India established under section 3 of the Act; (c) "agent" means any person who is associated with securities market and who conducts the business of distribution of securities products; (d) "certificate" means a certificate of