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THE GAZETTE OF INDIA EXTRAORDINARY PART –III– SECTION 4 PUBLISHED BY AUTHORITY NEW ... - page 1 / 6

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THE GAZETTE OF INDIA EXTRAORDINARY PART –III– SECTION 4 PUBLISHED BY AUTHORITY NEW DELHI, MAY 19, 2009 SECURITIES AND EXCHANGE BOARD OF INDIA NOTIFICATION MUMBAI, the 19th May, 2009 Securities and Exchange Board of India (Investor Protection and Education Fund) Regulations, 2009

No. LAD-NRO/GN/2009-10/05/163525. In exercise of the powers conferred by section 30 of the Securities and Exchange Board of India Act, 1992 (15 of 1992), the Securities and Exchange Board of India hereby makes the following regulations, namely: -

CHAPTER I PRELIMINARY

Short title and commencement.

  • 1.

    (1) These regulations may be called the Securities and Exchange Board of India (Investor Protection and Education Fund) Regulations, 2009.

  • (2)

    They shall come into force on the date of their publication in the Official Gazette.

Definitions.

2.

(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)

    ‘Committee’ means the advisory committee constituted under regulation 7 of these regulations;

  • (d)

    ‘financial year’ means the year commencing on the first day of April;

  • (e)

    ‘Fund’ means the Investor Protection and Education Fund created by the Board under section 11 of the Act;

  • (f)

    ‘investor’ means an investor in securities;

  • (g)

    ‘legal proceedings’ means any proceedings before a court or tribunal where one thousand or more investors are affected or likely to be affected by:-

    • (i)

      mis-statement, misrepresentation or omission in connection with the issue, sale or purchase of securities;

    • (ii)

      non-receipt of securities allotted or refund of application monies paid by them;

    • (iii)

      non-payment of dividend;

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