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Member Related | Company Related | Investor Related

1 Member Related

Rules and regulation

1.1 Rules, Bye-laws and Regulations of the Exchange

1.1.1 Rules, Bye-laws and Regulations of the Exchange(as amendend up to 15th January, 2010)

1.1.2 Rules, Bye-laws and Regulations of the Derivatives Segment of the Exchange (as amendend up to 30th April, 2009)

1.1.3 The BSE (Corporatisation and Demutualisation) Scheme, 2005

1.2 Rules and Regulations for Sub-Brokers

1.2.1 Checklist for Sub-Broker Registration

1.2.2 Sub-Broker Application Forms

1.2.3 Sub-Broker Model Agreement between Stock Broker & Sub-Broker

1.2.4 Sub-Broker Model Tripartite Agreement between Stock Broker & Client

1.2.5 Checklist for Sub-Broker Cancellation

1.2.6 Sub-Broker Cancellation Forms

1.2.7 Checklist for Change in Affiliation of Sub-Broker

1.2.8 Forms for CH in Affiliation of Sub-Broker

1.2.9 Checklist for change in Name/Trade Name & Address of Sub Broker

1.3 Rules and Regulation for Remisiers

1.3.1 Steps for Engagement as a Remisier

1.3.2 Remisier Guideline & Application Form

1.3.3 Checklist for Remisier Cancellation

1.3.4 Circulars pertaining to Remisiers

1.4 Format of Bank Guarantee / Deed of Pledge of securities -
Equity segment and Derivatives Segment

1.4.1 Format of Bank Guarantee towards Collateral(Equities)

1.4.2 Format of Third Party Bank Guarantee (TPBG) towards Collateral (Equities)

1.4.3 Format of letter to be given by Third Party alongwith TPBG.(Equities)

1.4.4 Format of Deed of Pledge of Securities towards Collateral(Equities)

1.4.5 Format of Bank Guarantee towards Collateral(Derivatives)

1.4.6 Format of Deed of Pledge of Securities towards Collateral(Derivatives)

1.4.7 List of Eligible Securities for Deposit towards Collateral (Total Liquid Assets).

1.4.8 List of Units of Mutual Fund Schemes-Exchange Traded Funds for Deposit towards Collateral (Total Liquid Assets).

1.4.9 ICCL - USE Currency Derivatives Segment^New

1.4.9.1 Format of Bank Guarantee towards collateral

1.4.9.2 Format of Deed of Pledge for securities towards collateral

1.4.9.3 List of Approved Securities for Deposit towards Collateral (Total Liquid Assets)

1.4.9.4 G-sec Procedure

1.5 Manuals and Agreements

1.5.1 Inspection Manual^New

1.5.2 ITORS_STWT_Handbook

1.5.3 Handbook and Application form for Intermediate Message Layer (IML)

1.5.4 DMA - Model Agreement between Member and Client

1.5.5 SLB - Agreements

1.5.5.1 SLB Member - Client Agreement

1.5.5.2 BOISL - SLB Member Agreement

1.6 Network Connectivity Form

1.6.1 Connectivity Application Forms

1.6.2 Annexures

1.6.3 Network Connectivity Charges

1.6.4 Undertaking for Network Equipment

1.6.5 Network Documents

1.7 BSE Help Desk

1.7.1 Contact Numbers and Email IDs of BSE HelpDesk

1.7.2 Password Reset Format for BOLT Trading

1.7.3 Application form for Activation/Deactivation of BOLT and IML id

1.7.4 Format for UCC - ECN login id creation

1.7.5 Contingency Pool format

1.8 Others

1.8.1 Membership

1.8.1.1 Updation for SEBI Mandated Database

1.8.2 List of Changes in Scrip IDs effective 12th January 04

1.8.3 Shareholding format for Free Float Indices

1.8.4 BSE Xplorer -Your view to real-time Announcements and Notices from BSE…

1.8.5 Download the FASTRADE product brochure

1.8.6 Authorised Persons Registration and Surrender Checklist, Forms and Formats

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2 Company Related

2.1 Format for Company Details

2.2 Formats for Compliance of Listing Agreement

2.2.1 Clause 35 : Shareholding Pattern

2.2.2 Clause 47 (c) : Certificate from Practicing Company Secretary

2.2.3 Clause 49 : Quaterly Corporate Governance Report

2.2.4 Clause 51: EDIFAR Registration Form

2.2.5 Format under Regulation 10(5)-Intimation to Stock Exchanges in respect of acquisition under Regulation 10(1)(a) of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011.

2.2.6 Format under Regulation 10(5) - Intimation to Stock Exchanges in respect of acquisition under Regulation 10(4)(e) of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011.

2.2.7 Format under Regulation 10(5) - Intimation to Stock Exchanges in respect of acquisition under Regulation 10(4)(f)
of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011.

2.2.8 Format under Regulation 10(6)-Report to Stock Exchanges in respect of any acquisition made in reliance upon exemption provided for in Regulation 10 of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011.

2.2.9 Format under Regulation 18(6) - Disclosure by acquirer for shares/ voting rights acquired during the offer period under Regulation 18 (6) in terms of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011 .

2.2.10 Format under Regulation 29(1) of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011� Disclosure of acquisition to the Stock Exchanges and the Target Company.

2.2.11 Format under Regulation 29(2) of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011 � Disclosure of acquisition and disposal to the Stock Exchanges and the Target Company.

2.2.12 Format under Regulations 30(1) & (2) of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011- Continual Disclosures at the end of each financial year to the Stock Exchanges and the Target Company.

2.2.13 Format under Regulations 31(1) & (2) of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011- Disclosure of encumbered shares and details of any invocation / release of such encumbrances to the Stock Exchanges and the Target Company.

2.2.14 Reconciliation of Share Capital Audit

2.2.15 Form A - SEBI - Prohibition of Insider Trading Regulations,1992

2.2.16 Form B - SEBI - Prohibition of Insider Trading Regulations, 1992

2.2.17 Form C - SEBI - Prohibition of Insider Trading Regulations, 1992

2.2.18 Form D - SEBI - Prohibition of Insider Trading Regulations ,1992

2.3 List of HDFC Branches for CMS

2.4 Listing Agreement

2.4.1 Listing Agreement for Equity^New

2.4.2 Listing Agreement for Debt Securities

2.4.3 Listing Agreement for Securitized Debt Instruments

2.4.4 Listing Agreement for Indian Depository Receipts

2.4.4.1 for issuing companies whose securites market regulator is signatory of MMOU of IOSCO

2.4.4.1 for other companies

2.4.5 Checklists to help companies to ensure compliance

2.4.5.1 Qualified Institutional Placement (QIPs) - Pre issue

2.4.5.2 Qualified Institutional Placement (QIPs) - Post issue

2.4.5.3 GDRs/ADRs/FCCBs - Pre issue

2.4.5.4 GDRs/ADRs/FCCBs - Post issue

2.4.5.5 Preferential Issue - Pre Issue

2.4.5.6 Preferential Issue - Post Issue

2.4.5.7 Scheme of Amalgamation/ Demerger, etc. (Clause 24(f) of the listing agreement)

2.4.5.8 Scheme Arrangements with the creditors/ reduction in capital, etc (Clause 24(f) of the listing agreement)

2.4.5.9 Listing of securities issued pursuant to the scheme of amalgamation/ arrangement/ reduction of capital (Post allotment)

2.4.5.10 Listing of an unlisted company pursuant to the scheme of amalgamation/ demerger (Post allotment)

2.4.6 Listing Application form (By Listed Companies For New Original Or Further Issues)

2.4.7 Shareholding pattern form

2.6 No Objection Certificate for release of 1% of issue amount

2.7 Check list for Change of Name of Company

2.8 Formalities/Formats for Buyback of shares by a company ^New

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3 Investor Related

3.1 Securities Contracts (Regulation) (manner of increasing and maintaining public shareholding in recognised stock exchanges) Regulations, 2006

3.2 Completeness of Account Number Information in ECS Mandates

3.3 Foreign Investments in Infrastructure Companies in Securities Market

3.4 Prior Approval for Acquisitions of Equity Shares of BSE

3.5 For the attention of Investors - Investment in the Equity Shares of BSE Limited

3.6 Model Test Papers for BCDE

3.7 Workbook on BCDE Test

3.8 Slides presented during Investors Conference on "Wealth Creation for Investors"

3.9 Complaints / Arbitration Forms

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