• POWERS AND FUNCTIONS OF THE BOARD

  • 11
     Functions of Board
  • 11A
     Board to regulate or prohibit issue of prospectus, offer document or advertisement soliciting money for issue of securities
  • 11AA
     Collective investment scheme
  • 11B
     Power to issue directions and levy penalty
  • 11C
     Investigation
  • 11D
     Cease and desist proceedings
  • REGISTRATION CERTIFICATE

  • 12
     Registration of stock-brokers, sub-brokers, share transfer agents, etc
  • PROHIBITION OF MANIPULATIVE AND DECEPTIVE DEVICES, INSIDER TRADING AND SUBSTANTIAL ACQUISITION OF SECURITIES OR CONTROL

  • 12A
     Prohibition of manipulative and deceptive devices, insider trading and substantial acquisition of securities or control
  • FINANCE, ACCOUNTS AND AUDIT

  • 13
     Grants by the Central Government
  • 14
     Fund
  • 15
     Accounts and audit
  • PENALTIES AND ADJUDICATION

  • 15A
     Penalty for failure to furnish information, return, etc
  • 15B
     Penalty for failure by any person to enter into agreement with clients
  • 15C
     Penalty for failure to redress investors‟ grievances
  • 15D
     Penalty for certain defaults in case of mutual funds
  • 15E
     Penalty for failure to observe rules and regulations by an asset management company
  • 15EA
     Penalty for default in case of alternative investment funds, infrastructure investment trusts and real estate investment trusts
  • 15EB
     Penalty for default in case of investment adviser and research analyst
  • 15F
     Penalty for default in case of stock brokers
  • 15G
     Penalty for insider trading
  • 15H
     Penalty for non-disclosure of acquisition of shares and takeovers
  • 15HA
     Penalty for fraudulent and unfair trade practices
  • 15HAA
     Penalty for alteration, destruction, etc., of records and failure to protect the electronic database of Board
  • 15HB
     Penalty for contravention where no separate penalty has been provided
  • 15-I
     Power to adjudicate
  • 15J
     Factors to be taken into account while adjudging quantum of penalty
  • 15JA
     Crediting sums realised by way of penalties to Consolidated Fund of India
  • 15JB
     Settlement of administrative and civil proceedings
  • ESTABLISHMENT, JURISDICTION, AUTHORITY AND PROCEDURE OF APPELLATE TRIBUNAL

  • 15K
     Establishment of Securities Appellate Tribunals
  • 15L
     Composition of Securities Appellate Tribunal
  • 15M
     Qualification for appointment as Presiding Officer or Member of Securities Appellate Tribunal
  • 15MA
     Amendment of Presiding Officer and Judicial Member
  • 15MB
     Search-cum-Selection Committee for appointment of Technical Members
  • 15MC
     Vacancy not to invalidate selection proceeding
  • 15N
     Tenure of office of Presiding Officer and other Members of Securities Appellate Tribunal
  • 15O
     Salary and allowances and other terms and conditions of service of Presiding Officers
  • 15P
     Filling up of vacancies
  • 15PA
     Member to act as Presiding Officer in certain circumstance
  • 15Q
     Resignation and removal
  • 15QA
     Qualifications, terms and conditions of service of Presiding Officer and Member
  • 15R
     Orders constituting Appellate Tribunal to be final and not to invalidate its proceedings
  • 15S
     Staff of the Securities Appellate Tribunal
  • 15T
     Appeal to the Securities Appellate Tribunal
  • 15U
     Procedure and powers of the Securities Appellate Tribunal
  • 15V
     Right to legal representation
  • 15W
     Limitation
  • 15X
     Presiding Officer, Members and staff of Securities Appellate Tribunals to be public servants
  • 15Y
     Civil Court not to have jurisdiction
  • 15Z
     Appeal to Supreme Court
  • MISCELLANEOUS

  • 16
     Power of Central Government to issue direction
  • 17
     Power of Central Government to supersede the Board
  • 18
     Returns and reports
  • 19
     Delegation
  • 20
     Appeals
  • 20A
     Bar of jurisdiction
  • 21
     Savings
  • 22
     Members, officers and employees of the Board to be public servants
  • 23
     Protection of action taken in good faith
  • 24
     Offences
  • 24A
     Composition of certain offences
  • 24B
     Power to grant immunity
  • 25
     Exemption from tax on wealth and income
  • 26
     Cognizance of offences by courts
  • 26A
     Establishment of Special Courts
  • 26B
     Offences triable by Special Courts
  • 26C
     Appeal and revision
  • 26D
     Application of Code to proceedings before Special Court
  • 26E
     Transitional provisions
  • 27
     Contravention by companies
  • 28
     Omitted.
  • 28A
     Recovery of amounts
  • 28B
     Continuance of proceedings
  • 29
     Power to make rules
  • 30
     Power to make regulations
  • 31
     Rules and regulations to be laid before Parliament
  • 32
     Application of other laws not barred
  • 33
     Repealed.
  • 34
     Power to remove difficulties
  • 34A
     Validation of certain acts
  • 35
     Repeal and saving