3. Functions of SEBI
◦ Securities and exchange board of India.
◦ SEBI performs three key function:
1. Quasi legislation
2. Quasi- judicial
3. Quasi- executive
4.
5. Functions of SEBI
◦Requesting and controlling the business on stock markets.
◦Registration of brokers and sub brokers Is made mandatory
and they have to abide by certain regulations and rules.
6. Functions of SEBI
◦Conduct inspection and inquiries of stock
exchange, intermediaries and self regulating
organization and to take appropriate measures
wherever required.
8. Functions of SEBI
◦Prohibiting deceptive and unfair methods used
by financial intermediaries operating in
securities markets.
9. Functions of SEBI
◦ Registering and controlling the functioning of stock brokers, sub-
brokers share transfer agents, bankers, trustees, registrar’s,
merchant bankers, underwriter, portfollo managers, investment
advisers and various other intermediaries who might be linked to
securities markets in any manner.
10. Functions of SEBI
◦ SEBI issues guidelines and instructions to businesses concerning
capital issues.
◦ Separate guidelines are provided for initial public issues made by
listed companies, etc.
11. Functions of SEBI
◦ SEBI regulates mergers and acquisition as a way to protect the interest of
investors.
◦ SEBI has released appropriate guidelines with the intentions that such mergers
and take overs won’t be the expense of small investors.