A Stock Broker License is a licensed practitioner who serves as an agent for the buying or selling of shares or securities in the secondary market on behalf of their clients and investors. Stock Brokers have allowed an individual who has the right to perform these functions as a result of registration with the authorities. No individual may perform these functions unregistered.
Stock Broker License As per Securities Contracts (Regulations) Rules, 1957, a stockbroker is a person having trading rights in any of the recognized stock exchange and includes a trading member
As per SEBI stockbroker and sub-broker rule, 1992 books of account should be maintained:
➲ Under regulation 17 following books are to be maintained by a stockbroker:
➲ As per securities contracts regulation rule 1957, stockbroker need to maintain:
Every member of the recognised stock exchange shall maintain and preserve the following books of accounts and documents for a period of five years:
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