Compliance Calendar - India

Stock Brokers

Ronak Sharma

Published on: Nov 28, 2025

Priya Gandhi

Updated on: Nov 28, 2025

★★★★★(1 Rating)

Introduction

The Stock Brokers Compliance Calendar serves as a structured and time-bound reference tool to help Stock Brokers and related intermediaries, ensure timely adherence to regulatory obligations as prescribed under the Securities and Exchange Board of India (Stock Brokers) Regulations 1992, and various Master Circulars issued by Securities and Exchange Board of India (SEBI) from time to time.

These regulations, supplemented by circulars and operational guidelines, lay down the compliance framework governing the activities of stock brokers in India, covering areas such as executing buy and sell orders on behalf of clients, providing a trading platform and market access, collecting margins and ensuring settlement of trades, maintaining investor records, and complying with SEBI’s regulatory framework to ensure transparency and investor protection. The Calendar is designed to:

Track periodic compliance requirements (Daily, Weekly, Monthly, Quarterly, Half-yearly, and Annual)
Ensure timely submissions to SEBI, Stock Exchanges, Clearing Corporations and other regulatory bodies
Promote accountability among compliance officers and relevant departments.

S.NO.	Compliance Obligation	Applicability	Segment	Facilities	Frequency	Reporting Authority	Filing Dates
1	Statement of Balance of Funds and Securities	SB	All	All	Yearly	Clients	31st October
2	Issue Annual Global Statement BSE NSE BSE NSE	SB	All	All	Yearly	Clients	30th April
3	Monthly Disclosure of Data on Complaints Received and Redressed	SB	All	All	Monthly	Website	By seventh (7) of succeeding month
4	Statement of Collateral Utilization	SB	All	All	Daily	Clients	Daily
5	Disclosure of Allocated Collateral Information on Web Portal	TM	All	All	Daily	Website	Daily
6	Reporting of Collected Margin BSE NSE	TM	All	All	Daily	Clients	Daily
7	Application for Change in Control in case of Scheme of Arrangement	SB	All	All	Event-Based	NCLT	Within three (3) months from obtaining in-principal approval from SEBI
8	Intimation by Employee upon Knowledge of Fraud, Abuse or Suspicious Activity	Employee of SB	All	All	Event-Based	Senior Management	NA
9	Cyber Attack of Low Impact	Qualified RE	All	All	Event-Based	Clients	NA
10	Notice for Withdrawal of DMAF	SB	All	TF	Event-Based	Clients	in instances of withdrawal of Direct Market Access (DMA) facility
11	Changes in Authorised Person	SB	All	All	Event-Based	Clients	at least thirty (30) days before the change
12	Corporate Restructuring	SB	All	All	Event-Based	Clients	One (1) month prior to corporate restructuring
13	MIS Report on Alert Status and Action Plan for Closure BSE NSE	TM	All	ATF/TF/MTF	Event-Based	Designated Director or Partner or Proprietor	Quarterly

S.NO.	Compliance Obligation	Applicability	Segment	Facilities	Frequency	Reporting Authority	Filing Dates
1	System Audit Report	SB/ TM having Presence in not more than 10 locations and number of terminals are not more than 50	All	All except ATF	Biennial	Stock Exchanges	30th June in every two year
2	ATR on System Audit	SB/ TM having Presence in not more than 10 locations and number of terminals are not more than 50	All	All except ATF	Biennial	Stock Exchanges	30th September in every two year
3	Annual Returns	SB	All	All	Yearly	Stock Exchanges	31st October
4	Report Use of AI/ ML Application and Systems	SB/ TM	All	All except ATF	Yearly	Stock Exchanges	15th April
5	System Audit Report	SB/ TM having Presence in more than 10 locations or number of terminals are more than 50	All	All except ATF	Yearly	Stock Exchanges	30th June
6	ATR on System Audit	SB/ TM having Presence in more than 10 locations or number of terminals are more than 50	All	All except ATF	Yearly	Stock Exchanges	30th September
7	Cyber Audit Report	TM (Type I/ Type II)	All	TF except ATF	Yearly	Stock Exchanges	30th June
8	ATR on Cyber Audit	TM (Type I/ Type II)	All	TF except ATF	Yearly	Stock Exchanges	30th September
9	VAPT Report	SB	All	All	Yearly	Stock Exchanges	30th June
10	ATR on VAPT	SB	All	All	Yearly	Stock Exchanges	30th September
11	Reporting of Periodic Inspections of Authorised Persons	TM	All	All	Yearly	Stock Exchanges	30th April
12	Internal Audit Report	TM	All	All	Half-Yearly	Stock Exchanges	30th November 31st May
13	Networth Certificate	TM	All	All except MTF	Half-Yearly	Stock Exchanges	30th November 31st May
14	RBS	TM	All	All	Half-Yearly	Stock Exchanges	30th November 31st May
15	Report Use of AI/ ML Application and Systems	TM	All	ATF	Half-Yearly	Stock Exchanges	15th April 15th October
16	Reporting of Compliance of Advisory on Software as a Service (SaaS) Solutions	SB	All	All	Half-Yearly	BSE	31st July 2025
17	Networth Certificate for MTF	SB	Equity	MTF	Half-Yearly	Stock Exchanges	15th November 31st May
18	MT Compliance Certificate	TM	Equity	MTF	Event-Based	Stock Exchanges	30th April 31st October
19	Report of VAPT	QSB & Protected RE	All	All	Half-Yearly	Stock Exchanges	31st December 30th June
20	ATR on VAPT	QSB & Protected RE	All	All	Half-Yearly	Stock Exchanges	31st March 30th September
21	System Audit Report	Type III TM	All	ATF	Half-Yearly	Stock Exchanges	30th November 30th June
22	ATR for System Audit Report	Type III TM	All	ATF	Half-Yearly	Stock Exchanges	30th September 28th February
23	Cyber Audit Report	QSB / Type III TM	All	QSB - All Type III TM - ATF	Half-Yearly	Stock Exchanges	30th November 30th June
24	ATR for Cyber Audit Report	QSB / Type III TM	All	QSB - All Type III TM - ATF	Half-Yearly	Stock Exchanges	30th September 28th February
25	Quarterly Compliance Reporting under Surveillance Obligation for Trading Members	TM	All	All	Quarterly	Stock Exchanges	15th July 15th October 15th January 15th April
26	Reporting of Periodic Inspections of Authorised Persons	TM	All	All	Quarterly	Stock Exchanges	31st July 31st October 31st January 30th April
27	Reports on Cyber Attacks, Threats, Cyber Security Incidents and Breaches	RE	All	All	Quarterly	Stock Exchanges	15th July 15th October 15th January 15th April
28	Submission of UCC Wise Settlement Details	SB	All	All	Quarterly	Stock Exchanges	Within 10 trading days post settlement dates
29	Data Required for Computation of STPI	TM	All	All	Quarterly	Stock Exchanges	By 16th of next month from the end of quarter
30	Client Documents With Respect to UCC	SB	All	All	Monthly	Stock Exchanges/ Clearing Corporations	Within seven (7) working days of the following month
31	Weekly Holding Statement	SB	All	All	Weekly	Stock Exchanges	On or before next four (4) trading days of following week i.e. Every Thursday
32	Reporting of Clients Mapped to Authorised Persons (AP)	SB	All	All	Weekly	Stock Exchanges	On or before the next 2 trading days of subsequent week
33	Disaggregated Information on Collaterals by Trading Member	TM	All	All	Daily	Clearing Member	Daily
34	Disclosure of Gross Exposure Towards Margin Trading Facility	SB	Equity	MTF	Daily	Stock Exchanges	Daily
35	Unique Device Identifiers for orders placed through IBT and STWT	TM	All	TF	Daily	Stock Exchanges	Daily
36	Upload UCC Wise Demat Holding Statement	TM	All	All	Daily	Stock Exchanges	Daily
37	High Order to Trade Ratio	TM	Equity/ F&O/CDS	ATF/TF	Daily	Stock Exchanges	Daily
38	Update reason for client code modifications	TM	All	All	Daily	Stock Exchanges	Daily
39	Application for Change in Control	SB	All	All	Event-Based	SEBI and Stock Exchanges	NA
40	Suspicious Activities	SB	All	All	Event-Based	Stock Exchanges	Within 48 hours of such Detection
41	Summary Analysis and ATR on Instances of Suspicious Activity, Fraud and Market Abuse	SB	All	All	Event-Based	Stock Exchanges	Half-Yearly
42	Cyber Security Incident Falling under CERT-In Cybersecurity Directions	RE	All	All	Event-Based	SEBI and Stock Exchanges	Within six (6) hours of noticing/ detecting such incidents or being brought to notice about such incidents
43	Interim Report	RE	All	All	Event-Based	SEBI and Stock Exchanges	Within three (3) days, from the date of reporting the incident
44	Mitigation Measure Report	RE	All	All	Event-Based	SEBI and Stock Exchanges	within seven (7) days, from the date of reporting the incident
45	RCA Report	RE	All	All	Event-Based	SEBI and Stock Exchanges	within thirty (30) days, from the date of reporting the incident
46	Forensic Audit Report	RE	All	All	Event-Based	SEBI and Stock Exchanges	within seventy-five (75) days, from the date of reporting the incident
47	Post-Cyber Incident VAPT	RE	All	All	Event-Based	SEBI and Stock Exchanges	within forty five (45) days, from the date of reporting the post-cyber incident activity
48	Declaration and Details of Internal Auditor	SB	All	All	Event-Based	Stock Exchanges	At the time of appointment
49	Change in PAN of Directors, Key Management Personnel and Dealers	SB	All	All	Event-Based	Stock Exchanges	within seven (7) days of change
50	Details of System Audit Through Web Portal	SB	All	All	Event-Based	Stock Exchanges	Before the commencement of system audit
51	Intimate Technical Glitch	SB	All	All	Event-Based	Stock Exchanges	Immediate
52	Preliminary Incident Report of Technical Glitch Incident	SB	All	All	Event-Based	Stock Exchanges	Within one (1) day of occurrence of incident
53	RCA Report of Technical Glitch Incident	SB	All	All	Event-Based	Stock Exchanges	Within fourteen (14) days from the date of incident
54	Independent Auditor's Report in Case of Incidents Exceeding 45 Minutes	TM	All	All	Event-Based	Stock Exchanges	Within forty-five (45) days of incident, in case of technical glitch incidents lasting more than forty-five (45) minutes
55	Unauthorised Incidences Involving Authorised Person	TM	All	All	Event-Based	Stock Exchanges	Within two (2) working days
56	Cases Admitted in NCLT Against Members or Promoters	TM	All	All	Event-Based	Stock Exchanges	Within one (1) week of admission of such case
57	ATR on Impersonation and Unauthorised Market Practices	TM	All	All	Event-Based	Stock Exchanges	Within 3 days after filing of police complaint
58	Details of Bank and Demat Accounts maintained by Stock Broker	SB	All	All	Event-Based	Stock Exchanges	Within one (1) week of opening of such new bank and demat accounts
59	Details of Closure of Reported Bank and Demat Accounts	SB	All	All	Event-Based	Stock Exchanges	Within one (1) week of such closure
60	Proof of Insurance Cover	TM	All	All	Event-Based	Stock Exchanges	Within thirty (30) days from the date of expiry of insurance policy
61	Financial Action Task Force Declaration	TM	All	All	Event-Based	Stock Exchanges	As and when required by the Exchange
62	Report any modification in the URL of Website	SB	All	All	Event-Based	Stock Exchanges	within three (3) days of changes

S.NO.	Compliance Obligation	Applicability	Segment	Facilities	Frequency	Reporting Authority	Filing Dates
1	System Audit Report	SB/ TM having Presence in not more than 10 locations and number of terminals are not more than 50	All	All except ATF	Biennial	Stock Exchanges	30th June in every two year
2	ATR on System Audit	SB/ TM having Presence in not more than 10 locations and number of terminals are not more than 50	All	All except ATF	Biennial	Stock Exchanges	30th September in every two year
3	Annual Returns	SB	All	All	Yearly	Stock Exchanges	31st October
4	Report Use of AI/ ML Application and Systems	SB/TM	All	All except ATF	Yearly	Stock Exchanges	15th April
5	System Audit Report	SB/TM having Presence in more than 10 locations or number of terminals are more than 50	All	All except ATF	Yearly	Stock Exchanges	30th June
6	ATR on System Audit	SB/TM having Presence in more than 10 locations or number of terminals are more than 50	All	All except ATF	Yearly	Stock Exchanges	30th September
7	Cyber Audit Report	TM (Type I/ Type II)	All	TF except ATF	Yearly	Stock Exchanges	30th June
8	ATR on Cyber Audit	TM (Type I/ Type II)	All	TF except ATF	Yearly	Stock Exchanges	30th September
9	VAPT Report	SB	All	All	Yearly	Stock Exchanges	30th June
10	ATR on VAPT	SB	All	All	Yearly	Stock Exchanges	30th September
11	Reporting of Periodic Inspections of Authorised Persons	TM	All	All	Yearly	Stock Exchanges	30th April
12	Internal Audit Report	TM	All	All	Half-Yearly	Stock Exchanges	30th November 31st May
13	Networth Certificate	TM	All	All except MTF	Half-Yearly	Stock Exchanges	30th November 31st May
14	RBS	TM	All		Half-Yearly	Stock Exchanges	30th November 31st May
15	Report Use of AI/ ML Application and Systems	TM	All	ATF	Half-Yearly	Stock Exchanges	15th April 15th October
16	Networth Certificate for MTF	SB	Equity	MTF	Half-Yearly	Stock Exchanges	15th November 31st May
17	MT Compliance Certificate	TM	Equity	MTF	Half-Yearly	Stock Exchanges	30th April 31st October
18	Report of VAPT	QSB & Protected RE	All	All	Half-Yearly	Stock Exchanges	31st December 30th June
19	ATR on VAPT	QSB & Protected RE	All	All	Half-Yearly	Stock Exchanges	31st March 30th September
20	System Audit Report	Type III TM	All	ATF	Half-Yearly	Stock Exchanges	30th November 30th June
21	ATR for System Audit Report	Type III TM	All	ATF	Half-Yearly	Stock Exchanges	30th September 28th February
22	Cyber Audit Report	QSB / Type III TM	All	QSB - All Type III TM - ATF	Half-Yearly	Stock Exchanges	30th November 30th June
23	ATR for Cyber Audit Report	QSB / Type III TM	All	QSB - All Type III TM - ATF	Half-Yearly	Stock Exchanges	30th September 28th February
24	Quarterly Compliance Reporting under Surveillance Obligation for Trading Members	TM	All	All	Quarterly	Stock Exchanges	15th July 15th October 15th January 15th April
25	Reporting of Periodic Inspections of Authorised Persons	TM	All	All	Quarterly	Stock Exchanges	31st July 31st October 31st January 30th April
26	Reports on Cyber Attacks, Threats, Cyber Security Incidents and Breaches	RE	All	All	Quarterly	Stock Exchanges	15th July 15th October 15th January 15th April
27	Submission of UCC Wise Settlement Details	SB	All	All	Quarterly	Stock Exchanges	Within 10 trading days post settlement dates
28	Data Required for Computation of STPI	TM	All	All	Quarterly	Stock Exchanges	By 16th of next month from the end of quarter
29	Client Documents With Respect to UCC	SB	All	All	Monthly	Stock Exchanges/ Clearing Corporations	Within seven (7) working days of the following month
30	Weekly Holding Statement	SB	All	All	Weekly	Stock Exchanges	On or before next four (4) trading days of following week i.e. Every Thursday
31	Reporting of Clients Mapped to Authorised Persons (AP)	SB	All	All	Weekly	Stock Exchanges	On or before the next 2 trading days of subsequent week
32	Disaggregated Information on Collaterals by Trading Member	TM	All	All	Daily	Clearing Member	Daily
33	Unique Device Identifiers for orders placed through IBT and STWT	TM	All	TF	Daily	Stock Exchanges	Daily
34	Disclosure of Gross Exposure Towards Margin Trading Facility	SB	Equity	MTF	Daily	Stock Exchanges	Daily
35	Upload UCC Wise Demat Holding Statement	TM	All	All	Daily	Stock Exchanges	Daily
36	High Order to Trade Ratio	TM	Equity/ F&O/CDS	ATF/TF	Daily	Stock Exchanges	Daily
37	Update Reason for Client Code Modifications	TM	All	All	Daily	Stock Exchanges	Daily
38	Application for Change in Control	SB	All	All	Event-Based	SEBI and Stock Exchanges	NA
39	Suspicious Activities	SB	All	All	Event-Based	Stock Exchanges	Within 48 hours of such Detection
40	Summary Analysis and ATR on Instances of Suspicious Activity, Fraud and Market Abuse	SB	All	All	Event-Based	Stock Exchanges	Half-Yearly
41	Cyber Security Incident Falling under CERT-In Cybersecurity Directions	RE	All	All	Event-Based	SEBI and Stock Exchanges	Within six (6) hours of noticing/ detecting such incidents or being brought to notice about such incidents
42	Interim Report	RE	All	All	Event-Based	SEBI and Stock Exchanges	Within three (3) days, from the date of reporting the incident
43	Mitigation Measure Report	RE	All	All	Event-Based	SEBI and Stock Exchanges	within seven (7) days, from the date of reporting the incident
44	RCA Report	RE	All	All	Event-Based	SEBI and Stock Exchanges	within thirty (30) days, from the date of reporting the incident
45	Forensic Audit Report	RE	All	All	Event-Based	SEBI and Stock Exchanges	within seventy-five (75) days, from the date of reporting the incident
46	Post-Cyber Incident VAPT	RE	All	All	Event-Based	SEBI and Stock Exchanges	within forty five (45) days, from the date of reporting the post-cyber incident activity
47	Declaration and Details of Internal Auditor	SB	All	All	Event-Based	Stock Exchanges	At the time of appointment
48	Change in PAN of Directors, Key Management Personnel and Dealers	SB	All	All	Event-Based	Stock Exchanges	within seven (7) days of change
49	Report any modification in the URL of Website	SB	All	All	Event-Based	Stock Exchanges	within three (3) days of changes
50	Details of System Audit Through Web Portal	SB	All	All	Event-Based	Stock Exchanges	Before the commencement of system audit
51	Technical Glitch	SB	All	All	Event-Based	Stock Exchanges	Immediate
52	Preliminary Incident Report of Technical Glitch Incident	SB	All	All	Event-Based	Stock Exchanges	Within one (1) day of occurrence of incident
53	RCA Report of Technical Glitch Incident	SB	All	All	Event-Based	Stock Exchanges	Within fourteen (14) days from the date of incident
54	Independent Auditor's Report in Case of Incidents Exceeding 45 Minutes	TM	All	All	Event-Based	Stock Exchanges	Within forty-five (45) days of incident, in case of technical glitch incidents lasting more than forty-five (45) minutes
55	Unauthorised Incidences Involving Authorised Person	TM	All	All	Event-Based	Stock Exchanges	Within two (2) working days
56	Cases Admitted in NCLT Against Members or Promoters	TM	All	All	Event-Based	Stock Exchanges	Within one (1) week of admission of such case
57	ATR on Impersonation and Unauthorised Market Practices	TM	All	All	Event-Based	Stock Exchanges	Within 3 days after filing of police complaint
58	Details of Bank and Demat Accounts maintained by Stock Broker	SB	All	All	Event-Based	Stock Exchanges	Within one (1) week of opening of such new bank and demat accounts
59	Details of Closure of Reported Bank and Demat Accounts	SB	All	All	Event-Based	Stock Exchanges	Within one (1) week of such closure
60	Proof of Insurance Cover	TM	All	All	Event-Based	Stock Exchanges	Within thirty (30) days from the date of expiry of insurance policy
61	Financial Action Task Force Declaration	TM	All	All	Event-Based	Stock Exchanges	As and when required by the Exchange

Abbreviations

S.NO.	List of Abbreviations	Definitions
1	SEBI- Securities and Exchange Board of India	Securities and Exchange Board of India (SEBI) is a regulatory authority established under the Securities and Exchange Board of India Act, 1992 to regulate the securities market in India.
2	NSE- National Stock Exchange	National Stock Exchange (NSE) is India’s leading stock exchange where securities such as shares, bonds, and derivatives are bought and sold.
3	VAPT- Vulnerability Assessment & Penetration Testing	Vulnerability Assessment & Penetration Testing (VAPT) is a security process used to identify, evaluate, and address weaknesses in an organization’s IT systems, networks, or applications.
4	CSCRF- Cybersecurity and Cyber Resilience Framework	Cybersecurity and Cyber Resilience Framework (CSCRF) is a set of guidelines, controls, and best practices designed to help organizations protect their information systems and continue operations even during or after a cyber incident.
5	RCA- Root Cause Analysis Report	Root Cause Analysis (RCA) Report is a formal document that identifies the underlying reasons for a problem, failure, or incident, rather than just its symptoms.
6	PAN- Permanent Account Number	Permanent Account Number (PAN) is a unique 10-character alphanumeric code issued by the Income Tax Department of India to individuals and entities.
7	NCIIPC- National Critical Information Infrastructure Protection Centre	National Critical Information Infrastructure Protection Centre (NCIIPC) is a designated National Nodal Agency in respect of Critical Information Infrastructure Protection.
8	MIIs- Market Infrastructure Institutions	Stock exchanges, Clearing Corporations and Depositories together constitute Market Infrastructure Institutions (MIIs).
9	REs- Regulated Entities	Regulated Entities (REs) are organisations, institutions, or individuals that are licensed, supervised, or governed by a regulatory authority under specific laws or regulations.
10	AI- Artificial Intelligence	Artificial Intelligence (AI) is a branch of computer science that focuses on creating systems or machines capable of performing tasks that typically require human intelligence.
11	ML- Machine Learning	Machine Learning (ML) is a branch of artificial intelligence (AI) that enables computer systems to learn from data and improve their performance automatically without being explicitly programmed for every task.
12	NCLT- National Company Law Tribunal	National Company Law Tribunal (NCLT) is a quasi-judicial body in India that adjudicates issues related to Indian companies.
13	URL- Uniform Resource Locator	Uniform Resource Locator (URL) is the address of a resource on the internet.
14	MIS Report- Margin Intraday Square-off Report	Margin Intraday Square-off Report details all trading positions opened using a margin facility (leverage) that were compulsorily closed or "squared off" within the same trading day.
15	AP- Authorised Persons	Authorised Person (AP) is any person (individual, partnership firm, Limited Liability Partnership (LLP) or company) who is appointed by a stock broker or trading member and approved by the stock exchange to act on its behalf for facilitating investors to access the trading platform.
16	MTF- Margin Trading Facility	Margin Trading Facility (MTF) refers to a facility provided by a SEBI-registered stock broker that allows an investor to buy securities by partly paying for them with their own funds and borrowing the balance from the broker.
17	BSE- Bombay Stock Exchange	Bombay Stock Exchange (BSE) is India’s leading stock exchange where securities such as shares, bonds, and derivatives are bought and sold.
18	UCC-Unique Client Code	Unique Client Code (UCC) is a unique alphanumeric identifier assigned to each investor by their stockbroker for all securities market transactions.
19	ATR-Action Taken Report	Action Taken Report (ATR) is formal document submitted by trading member, or other regulated entity to stock exchange or market regulator (e.g., SEBI) detailing the steps taken to address a specific issue, non-compliance, or investor complaint.
20	FATF- Financial Action Task Force	Financial Action Task Force (FATF) is a global watchdog that sets international standards to prevent money laundering (ML), terrorist financing (TF), and the financing of proliferation of weapons of mass destruction.
21	CERT-In - Computer Emergency Response Team-India	CERT-In (Indian Computer Emergency Response Team) is the national nodal agency for responding to cybersecurity threats and incidents in India.
22	BEFS- BSE Electronic Filing System	BSE Electronic Filing System (BEFS) is a web-based application provided by the Bombay Stock Exchange (BSE) to facilitate a single window for interaction and compliance-related filings between the exchange and its listed companies or members.
23	SB- Stock Broker	Stock Broker (SB) is a financial professional or firm that executes buy and sell orders for stocks and other securities on a stock exchange on behalf of their clients, usually in exchange for a commission or fee.
24	TM- Trading Member	Trading Member (TM) is a registered entity, typically a broker or a bank, that is authorized by a stock exchange to trade securities on the exchange's platform on behalf of itself or its clients.
25	RBS - Risk Based Supervision	Risk-Based Supervision (RBS) is a modern regulatory strategy where supervisors assess the specific risk profile of a financial entity to the wider system.
26	ATR- Action Taken Report	Action Taken Report (ATR) is a formal document that summarizes the steps or measures implemented by an organization or authority in response to observations, recommendations, or decisions from a prior meeting, audit, or report.
27	QSB- Qualified Stock Brokers	Large stockbrokers that have a significant impact on the Indian securities market due to their size, trading volumes, or number of clients.
28	IBT- Internet Based Trading	Internet Based Trading (IBT) is a system allowing investors to buy and sell financial securities, such as stocks, directly through an online trading platform provided by a stockbroker.
29	STWT- Securities trading using Wireless Technology	Securities Trading using Wireless Technology (STWT) is a facility that permits investors to execute buy and sell orders for securities on a stock exchange using mobile devices (like smartphones or laptops with data cards).
30	STPI - Securities Transaction Price Index	Securities Transaction Price Index (STPI) is an index that measures the average change in the cost (fees, commissions, and charges) of financial services in the securities market, like brokerage or fund management fees.
31	ATF - Algo Trading Facility	Algo Trading Facility (ATF) is the electronic infrastructure provided by a stock exchange or broker that allows Trading Members to place complex, pre-programmed buy and sell orders.
32	TF - Trading Facilities	Trading Facilities (TF) refers to the entire technological infrastructure, systems, and platforms provided by a stock exchange or its members that allow investors and brokers to transact securities.
33	F&O - Equity Derivatives Segment	Equity Derivatives Segment is the market area on a stock exchange where investors trade financial instruments whose value is derived from underlying equities (such as individual stocks or stock indices).
34	CDS - Currency Derivatives Segment	Currency Derivatives Segment is the market segment on a stock exchange where investors trade contracts whose value is derived from underlying currencies (like USD-INR, EUR-USD, etc.).
35	DMAF - Direct Market Access Facility	Direct Market Access (DMA) Facility is a service where a broker allows a client (typically a large institutional investor) to directly input buy and sell orders into the stock exchange's trading system using the broker's infrastructure.

BEYOND COMPLIANCE CALENDAR

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Disclaimer

The information provided in this article is intended for general informational purposes only and should not be construed as legal advice. The content of this article is not intended to create and receipt of it does not constitute any relationship. Readers should not act upon this information without seeking professional legal counsel.

Compliance Calendar - India

Stock Brokers

Ronak Sharma

Priya Gandhi

Introduction

Disclosure Requirements (Other than Stock Exchanges)

Disclosure Requirements - BSE Limitied (BSE)

Disclosure Requirements - National Stock Exchange of India Limitied (NSE)

Abbreviations

BEYOND COMPLIANCE CALENDAR

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