SEBI Regulations

Title	Amended on
SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018 *Amendment* Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Second Amendment) Regulations, 2019 Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Third Amendment) Regulations, 2019 Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Fourth Amendment) Regulations, 2019	05-Apr-2019 05-Apr-2019 29-Jul-2019 23-Sep-2019
SEBI (LODR) Regulations, 2015 *Amendment* Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) (Amendment) Regulations, 2019 SEBI (Listing Obligations and Disclosure Requirements) (Second Amendment) Regulations, 2019 SEBI (Listing Obligations and Disclosure Requirements) (Third Amendment) Regulations, 2019 SEBI (Listing Obligations and Disclosure Requirements) (Fourth Amendment) Regulations, 2019	30-Nov-2018 29-Mar-2019 07-May-2019 27-Jun-2019 29-Jul-2019
SEBI (Buy Back of Securities) Regulations, 1998 *Amendment* SEBI (Buy Back of Securities) (Amendment) Regulations, 2019 SEBI (Buy Back of Securities) (Second Amendment) Regulations, 2019	11-Sep-2018 29-Jul-2019 27-Sep-2019
SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011 *Amendment* SEBI (Substantial Acquisition of Shares and Takeovers) (Amendment) Regulations, 2018 SEBI (Substantial Acquisition of Shares and Takeovers) (Second Amendment) Regulations, 2019 *FAQ* FAQ on SEBI (Substantial Acquisiton of Shares and Takeovers) Regulations, 2016	12-Oct-2018 29-Mar-2019 29-Jul-2019 29-Dec-2016
SEBI (Delisting of Equity Shares) Regulations, 2009 *Amendment* SEBI (Delisting of Equity Shares) (Amendment) Regulations, 2016 SEBI (Delisting of Equity Shares) (Second Amendment) Regulations, 2018 SEBI (Delisting of Equity Shares) (Third Amendment) Regulations, 2019	06-Mar-2017 12-Jan-2016 14-Nov-2018 29-Jul-2019
SEBI (Public Offer and Listing of Securitised Debt Instruments) Regulations, 2008	06-Mar-2017
SEBI (Issue and Listing of Non-Convertible Redeemable Preference Shares) Regulations, 2013 (last amended on October 09, 2018)	09-Oct-2018
SEBI (Real Estate Investment Trusts) Regulations, 2014 *Amendment* SEBI (Real Estate Investment Trusts) (Amendment) Regulations, 2014 *Circular* Guidelines for public issue of units of REITs Guidelines for determination of allotment and trading for (REITs) and (InvITs)	26-Sep-2014 22-Apr-2019 19-Dec-2016 23-Apr-2019
SEBI (Infrastructure Investment Trusts) Regulations, 2014	22-Apr-2019
SEBI (InVITS) Regulations, 2014 *Amendment* SEBI (IITs) (Amendment) Regulations, 2016	26-Sep-2014 30-Nov-2016
SEBI (Debenture Trustee) Regulations, 1993 *Amendment* SEBI (Debenture Trustee)(Amendment)Regulations, 2019	13-Jul-2017 07-May-2019
SEBI (Issue of Sweat Equity) Regulations, 2002	27-Aug-2003
SEBI (Prohibition of Insider Trading) Regulations, 2015 (Last amended on January 21, 2019) *Amendment* SEBI (Prohibition of Insider Trading) (Second Amendment) Regulations, 2019 SEBI (Prohibition of Insider Trading) (Third Amendment) Regulations, 2019	21-Jan-2019 25-July-2019 17-Sep-2019
SEBI (Prohibition of Fraudulent and Unfair Trade Practices relating to Securities Market) Regulations, 2003	06-Sep-2013
PMLA
SEBI (Foreign Portfolio Investors) Regulations, 2019	23-Sep-2019
SEBI (Intermediaries) Regulations, 2008	21-Nov-2017
SEBI (Alternative Investment Funds) Regulations, 2012 *Amendment* SEBI (Alternative Investment Funds)(Amendment)Regulations, 2019	01-Jun-2018 10-May-2019
SEBI (Investment Advisers) Regulations, 2013	08-Dec-2016
SEBI (Collective Investment Schemes) Regulations, 1999	06-Mar-2017
SEBI (Foreign Venture Capital Investors) Regulations, 2000	06-Mar-2017
SEBI (Certification of Associated Persons in the Securities Markets) Regulations, 2007	07-Feb-2014
SEBI (Merchant Bankers) Regulations, 1992	06-Mar-2017
SEBI (Underwriters) Regulations, 1993	06-Mar-2017
SEBI (Research Analysts) Regulations, 2014	08-Dec-2016
SEBI (Bankers to an Issue) Regulations, 1994 *Amendment* SEBI (Bankers to an issue) (Amendment) Regulations, 2011	06-Mar-2017 30-May-2018
SEBI (KYC (Know Your Client) Registration Agency) Regulations, 2011	06-Mar-2017
SEBI (Credit Rating Agencies) Regulations, 1999 *Amendment* SEBI (Credit Rating Agencies)(Second Amendment) Regulations, 2018 SEBI (Credit Rating Agencies) (Amendment) Regulations, 2019	11-Jun-2018 11-Sep-2018 23-Sep-2019
SEBI (Portfolio Managers) Regulations, 1993 *Amendment* SEBI (Portfolio Managers) (Amendment) Regulations, 2019	06-Mar-2017 10-May-2019
SEBI (Issue and Listing of Debt Securities by Municipalities) Regulations, 2015 *Amendment* SEBI (Issue and Listing of Debt Securities by Municipalities) (Amendment) Regulations, 2017 SEBI (Issue and Listing of Debt Securities) (Amendment) Regulations, 2019 SEBI (Issue and Listing of Debt Securities by Municipalities) (Amendment) Regulations, 2019	15-Jul-2015 15-Feb-2017 07-May-2019 27-Sep-2019

Title	Date
Guidelines for preferential issue of units and institutional placement of units by a listed Infrastructure Investment Trust (InvIT)	27-Nov-2019
Guidelines for preferential issue of units and institutional placement of units by a listed Real Estate Investment Trust (REIT)	27-Nov-2019
Continuous disclosures and compliances by listed entities under SEBI (Issue and Listing of Municipal Debt Securities) Regulations, 2015	13-Nov-2019
e-KYC Authentication facility under section 11A of the Prevention of Money Laundering Act, 2002 by Entities in the securities market for Resident Investors	05-Nov-2019
Operational Guidelines for FPIs & DDPs under SEBI (Foreign Portfolio Investors), Regulations 2019 and for Eligible Foreign Investors	05-Nov-2019
Enhanced Due Diligence for Dematerialization of Physical Securities	05-Nov-2019
Streamlining the Process of Public Issue of Equity Shares and convertibles- Implementation of Phase II of Unified Payments Interface with Application Supported by Block Amount	26-Jul-2019
Standardizing Reporting of violations related to Code of Conduct under SEBI (Prohibition of Insider Trading) Regulations, 2015	19-Jul-2019
Procedure and Formats for Limited Review / Audit report of the Listed Entity and those Entities whose accounts are to be consolidated with the Listed Entity	19-Jul-2019
Streamlining the Process of Public Issue of Equity Shares and Convertibles- Implementation of Phase II of Unified Payments Interface with Application Supported by Block Amount	28-Jun-2019
Streamlining the Process of Public Issue of Equity Shares and convertibles- Extension of time lime for implementation of Phase I of Unified Payments Interface with Application Supported by Block Amount	03-Apr-2019
Procedure and Formats for Limited Review / Audit report of the Listed Entity and those Entities whose accounts are to be consolidated with the Listed Entity	29-Mar-2019
SEBI (Delisting of Equity Shares) Regulations, 2015 - Timelines for Counter Offer	13-Mar-2019
Guidelines for public issue of units of REITs - Amendments	15-Jan-2019
Guidelines for public issue of units of InvITs - Amendments	15-Jan-2019
Streamlining the Process of Public Issue of Equity Shares and Convertibles	01-Nov-2018
Know your client requirements for Foreign Portfolio Investors	21-Sep-2018
Eligibility conditions for Foreign Portfolio Investors	21-Sep-2018
Amendment on KYC requirements for (FPIs)	21-Aug-2018
Streamlining the process of public issue under the SEBI (Issue and Listing of Debt Securities) Regulations, 2008 (SEBI ILDS), SEBI (Issue and Listing of Non-Convertible Redeemable Preference Shares) Regulations, 2013 (SEBI NCRPS), SEBI (Public Offer and Listing of Securitised Debt Instruments) Regulations, 2008 (SEBI SDI) and SEBI (Issue and Listing of Debt Securities by Municipalities) Regulations, 2015 (SEBI ILDM)	16-Aug-2018
Electronic book mechanism for issuance of securities on private placement basis - Clarifications	16-Aug-2018
Investment by Foreign Portfolio Investors (FPI) through Primary Market Issuances	13-Jul-2018
Non-Compliance with Provision of SEBI (LODR) Regulations, 2015	03-Mar-2018
Compensation to retail individual investors (RIIs) in an IPO	15-Feb-2018
Online Filing System for Offer Documents, Schemes of Arrangement, Takeovers and Buy backs	19-Jan-2018
Under sections 11(1), 11(4) and 11b of the Securities and Exchange Board of India act, 1992 and regulation 11 of the SEBI prohibition of fraudulent and unfair trade practices relating to Securities Market) Regulations, 2003 in the matter of Price Waterhouse and ORS. relating to the case of Satyam Computer Services Limited	10-Jan-2018
Schemes of Arrangement by Listed Entities and (ii) Relaxation under Sub-rule (7) of rule 19 of the Securities Contracts (Regulation) Rules, 1957	03-Jan-2018
Exemption application under Regulation 11 (1) of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011	22-Dec-2017
Non-compliance with the Minimum Public Shareholding (MPS) Requirements	10-Oct-2017
Report submitted by the Committee on Corporate Governance	05-Oct-2017
Schemes of Arrangement by Listed Entities	21-Sep-2017
Review of Offer for Sale (OFS) of Shares through Stock Exchange Mechanism	27-Jun-2017
Online Registration Mechanism for Securities Market Intermediaries	02-Mar-2017
Schemes of Arrangement by Listed Entities	23-Mar-2017
Revised format for Letter of offer under SEBI (SAST) Regulations, 2011	15-Mar-2017
Schemes of Arrangement by Listed Entities	10-Mar-2017
Guidance note on Board Evaluation	05-Jan-2017
Exclusively listed companies of De-recognized/Non-operational/exited Stock Exchanges placed in the Dissemination Board	05-Jan-2017
Disclosure of financial information in offer document for REITs	26-Dec-2016
Guidelines for public issue of units of REITs	19-Dec-2016
Streamlining the process for acquisition of shares pursuant to Tender-Offers made for Takeovers, BuyBack and Delisting of Securities	09-Dec-2016
Continuous disclosures and compliances by InvITs	29-Nov-2016
Revised formats for financial results and implementation of Ind AS by listed entities which have listed their debt securities and/or non-cumulative redeemable preference shares	10-Aug-2016
Revised formats for financial results and implementation of Ind AS by listed entities	05-Jul-2016
Guidelines for public issue of units of InvITs	11-May-2016
Revised formats under SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011	02-May-2016
Electronic book mechanism for issuance of debt securities on private placement basis	21-Apr-2016
Clarification regarding applicability of Indian Accounting Standards to disclosures in offer documents under SEBI (ICDR) Regulations, 2009	31-Mar-2016
Investments by FPIs in Government securities	29-Mar-2016
Investments by FPIs in REITs, InvIts, AIFs and corporate bonds under default	15-Mar-2016
Review of OFS of Shares through Stock Exchange Mechanism	15-Feb-2016
Clarification Circular on streamlining the Process of Public Issue of Equity Shares and Convertibles	21-Jan-2016
Streamlining the process of Public Issue of Equity Shares and Convertibles	10-Nov-2015
General information document	06-Dec-2013
General guidelines for dealing with conflicts of interest of Intermediaries, Recognised Stock Exchanges, Recognised Clearing Corporations, Depositories and their Associated Persons in Securities Market	27-Aug-2013

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