OTC EXCHANGE OF INDIA

CIRCULAR

   

Ref.: 3247/2002/CP/MDD/1024

10^th December 2002

Dear Sir,

 

Subject: Broker Database

 

This is to inform you that Securities And Exchange Board of India (SEBI) is in the process of updating the broker database. In this regard you are requested to provide the following information/documents to the Exchange in both soft and hard copy (soft copy in Excel format):

1.       Details of Membership of other stock Exchanges*

2.       Details of Directors** (if you have already provided the details in the below format please ignore)

3.       SEBI Registration No., Date and Trade Name (as member/dealer of OTCEI)

4.       SEBI Registration Certificate photocopy (if you have already provided the copy, please ignore)

 

The above should reach us by 18th December 2002. Non-compliance of the same would be informed to SEBI accordingly.

 

In case of any further clarification please feel free to call on us.

 

Thanking you,

 

Yours faithfully,

 

 

Ajay C Singhvi

Asst. Vice President

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DETAILS OF MEMBERSHIP OF OTHER STOCK EXCHANGES*

Name of the Member/Dealer:

S. No.	Member/Dealer Multiple Membership Details
1	Broker SEBI Registration No. (OTCEI)
2	Multiple SEBI Registration No. (Reg. No. of other Stock Exchanges)
3	Multiple SEBI Registration Date
4	Multiple Broker Name (if membership is in any other name)
5	Multiple Status*
6	Multiple Exchange Code**

*  Multiple Status

Y

If Multiple Member

N

If not a Multiple Member

** For example,  BSE 01  &  NSE 23

 

DETAILS OF DIRECTORS/PARTNERS**

Name of the Member/Dealer:

S. No.	Member/Dealer’s Directors/ Partners Details
1	Broker SEBI Registration No. (OTCEI)
2	Directors Name
3	Educational Qualification Code*
4	Post Held
5	Work Experience (no. of years and nature of work handled)

* Educational Qualification Code no.:

1	12th pass	2	Under Graduate
3	Graduate	4	Post Graduate
9	Not Known