What? When? Contact? Reference?

Activation / Deactivation of Proprietary nse/cmtr/11671

Prior Approval required Capital Market Trade
trading facility nse/cmtr/14389
Block Deal Execution On the same day of trade Capital Market Trade nse/cmtr/11671
Single bulk deal immediately upon the execution of the
Bulk Deal Reporting order. Cumulative trades resulting in a bulk deal, within Capital Market Trade
one hour of closure of trading hours. nse/cmtr/11671
nse/cmtr/01642
Application for providing IBT Prior Approval required CTCL nse/cmtr/8089
nse/cmtr/10796
Submission of SSL certificate for IBT
By 31 July yearly CTCL
Services nse/cmtr/7636
System Audit Report By 31 July yearly CTCL nse/cmtr/12650
Activation for CTCL /IBT for ENIT Prior Approval Required CTCL nse/cmtr/7797
Advertisement to be submitted seven days in advance
Advertisements (Rule (5) (h) of Chapter IV
before its publication.Written permission to be obtained Compliance
of the Rules of the Exchange)
before publication nse/comp/13186
Annual Returns Within 6 months from the end of accounting year Compliance nse/comp/14940
Appointment and change of Compliance
Intimation to Exchange Compliance
Officer nse/memb/3441
nse/cmtr/8454
nse/cmtr/6962
Client wise Funding Report Within seven days form the end of the month Compliance
nse/cmtr/6373
nse/cmtr/6963
Half yearly basis -Within 3 months from half year ended nse/insp/14644
Internal Audit Report Compliance
March and September nse/insp/13654
Half yearly basis – within 3 months from half year
Net worth certificate Compliance
ending nse/comp/13259

Networth certificate in Margin Trading for nse/memb/4972

Within one month from the end of half year Compliance
CM Segment
nse/memb/4973
Proof of Insurance cover By July 31 yearly Compliance nse/comp/14739
nse/cmtr/7898
nse/memb/5917
nse/cmtr/5914
Client details for Margin Trading facility Before 9:00pm on the trade day Compliance nse/cmtr/5420
Client details for Margin Trading facility Before 9:00pm on the trade day Compliance
nse/cmtr/4974
nse/memb/4973
nse/memb/4972
Members trading through other members Intimation / Prior Approval required Compliance nse/faop/4758
Appointment of Authorized personal in
Prior Approval required. Membership
F&O segment nse/memb/13601
nse/memb/5239
Change in address of member Intimation to Exchange Membership
nse/memb/3655
Change in designated directors Prior Approval required Membership nse/memb/9314
Change in non-designated directors Fee Clearance from the Exchange Membership nse/memb/13964
Change in name of member Intimation to Exchange Membership nse/memb/10363
Change in shareholding Fee Clearance from the Exchange Membership nse/memb/13964
Change in status and constitution Prior Approval required Membership nse/memb/4299
Increase in share capital Fee Clearance from the Exchange Membership nse/memb/13964
Upload of DMA IDs Prior Approval required Membership nse/memb/11019
Upload of CTCL IDs,Activation /
Prior Approval required Membership
Deactivation / Shifting of CTCL IDs nse/memb/7913
Pay in of Funds (CM) On T+2 day by stipulated pay-in time NSCCL – Funds nse/cmpt/13060
Pay in of Funds (F&O) On a T+1 day basis by stipulated pay-in time NSCCL – Funds nse/cmpt/13061
Daily mark to market settlement by 8:30 am on T+1 day
Pay in of Funds (CDS) NSCCL – Funds
Final settlement by 8:30 am on T+2 day
nse/cd/11650
Pay in of Funds (SLB) On T+1 day by 9:30 am NSCCL – Funds nse/cmpt/11757
Pay in of Funds (MFSS) On the T+1 day by 8:30 a.m. NSCCL – Funds nse/cmpt/13534
Client Margin Reporting Within two days from trade date NSCCL - Risk nse/cmpt/13061
Penalty Structure for Cld modification NSCCL - Securities nse/cmpt/13060 - Item No 12.5
Client Code Modification File (CLD)*
On T day by 4.45 pm NSCCL - Securities nse/cmpt/13060 - Item No 25.2.1
Client Direct Payout File (CPD)* On T+2 day by 9.30 am NSCCL - Securities nse/cmpt/13060 - Item No 7.2.1
DVP trades penalty , margins & exceptions for same NSCCL - Securities nse/cmpt/13060 - Item No 12.6
Contraction of custodial Trades file On T day, I upload 6.30 pm On T+1 day, II upload 9.30
NSCCL - Securities
am nse/cmpt/13060 - CP Contraction File discontinued
nse/cmpt/13060 - Item No 25.2.1
CP Code Modification (CP)* On T day by 4.45 pm NSCCL - Securities
nse/cmpt/13060 - Item No 25.3.4

nse/cmpt/13060 - Item No 25.2.1/2

On T day, I upload 6.00 pm,II upload 6.30 pm,On T+1
Obligation Transfer File (OTR)* NSCCL - Securities
day, III upload 9.30 am nse/cmpt/13060 - Item No 11.10
 On T day, I upload 6.00 pm,II upload 6.30 pm,On T+1
Obligation Transfer File (OTR)* NSCCL - Securities
day, III upload 9.30 am

nse/cmpt/13060 - Item No 12.6

On T+1 day by 9.30 am NSCCL - Securities
nse/cmpt/13060 - Item No 25.2.1
Reallocation of custodial Trades file (RC)*
DVP trades penalty , margins & exceptions for same NSCCL - Securities
nse/cmpt/13060 - Item No 12.6
Early Pay In (CEP) Client allocation file* On T+2 day up to 10.30 am NSCCL – Securities
nse/cmpt/13060 - Item 11.13.1 Annexure 11.7
Pay in of Securities On T+2 day by 10.40 am NSCCL – Securities NSE/CMPT/ 13060 - Item 7.1
 Dated?

25th November 2008

23rd March 2010
25th November 2008

25th November 2008

12th May 2000

10th Nov 2006
6th Jun 2008

28th June 2006

30th June 2009

25th Aug 2006

5th October 2009

7th Jun 2010

14th June 2002

31st January 2007

19th December 2005
13th July 2005
19th December 2005
23rd April 2010
9th December 2009

14th October 2009

7th April 2004

7th April 2004

10th May 2010

21st September 2006
11th March 2005
10th March 2005
9th September 2004
 7th April 2004
7th April 2004
7th April 2004
22nd January 2004

3rd December 2009

8th July 2004

4th October 2002
13th August 2007
22nd January 2010
28th February 2008
22nd January 2010
25th July 2003
22nd January 2010
21st July 2008

25th September 2006

10th September 2009

10th September 2009

20th November 2008

12th December 2008

24th November 2009
10th September 2009
10th September 2009
10th September 2009
10th September 2009
10th September 2009

10th September 2009

10th September 2009

10th September 2009

10th September 2009

10th September 2009

10th September 2009

10th September 2009

10th September 2009

10th September 2009

10th September 2009

Nature of compliance Periodicity Department
Upload of CTCL Prior Approval required Capital Market Trade
IDs,Activation / Deactivation /
Shifting of CTCL IDs

Activation / Deactivation of Prior Approval required Capital Market Trade

Proprietary trading facility
Application for providing IBT Prior Approval required Capital Market Trade
Submission of SSL certificate By 31 July yearly Capital Market Trade
for IBT Services

System Audit Report By 31 July yearly Capital Market Trade

Client details for Margin Before 9:00pm on the Capital Market Trade
Trading facility trade day

Block Deal Execution On the same day of trade Capital Market Trade

Bulk Deal Reporting Single bulk deal Capital Market Trade

immediately upon the
execution of the order.
Cumulative trades
resulting in a bulk deal,
within one hour of
closure of trading hours.
Circular Ref no
(NSE/MEMB/7913

NSE/MEMB/7992)
(NSE/FAOP/7652)

(NSE/CMTR/8089
(NSE/CMTR/7636

NSE/CMTR/01642)
(NSE/CMTR/7634
NSE/CMTR/8195
NSE/CMTR/6128
NSE/CMTR/8089)
(NSE/MEMB/4972

NSE/MEMB/4973
NSE/CMTR/4974
NSE/CMTR/5420
NSE/CMTR/5914
NSE/MEMB/5917
NSE/CMTR/7898)
(NSE/CMTR/6846

NSE/CMTR/7864)
(NSE/CMTR/4808

NSE/CMTR/7864

Nature of compliance
Activation / Deactivation of
Proprietary trading facility
Application for providing
IBT
Block Deal Execution
Block Deal Execution
Bulk Deal Reporting
the order. Cumulative trades resulting in a bulk deal,
Bulk Deal Reporting
the order. Cumulative trades resulting in a bulk deal,
Client details for Margin
Trading facility
Client details for Margin
Trading facility
Client details for Margin
Trading facility
Client details for Margin
Trading facility
Client details for Margin
Trading facility
Client details for Margin
Trading facility
Client details for Margin
Trading facility
Submission of SSL
certificate for IBT Services
Submission of SSL
certificate for IBT Services
System Audit Report
System Audit Report
System Audit Report
Latest Circular
Periodicity Department Circular Ref no Number (if any)
Prior Approval required Capital Market Trade NSE/FAOP/7652
Prior Approval required Capital Market Trade NSE/CMTR/8089
On the same day of trade Capital Market Trade NSE/CMTR/7864
On the same day of trade Capital Market Trade NSE/CMTR/6846
Single bulk deal immediately upon the execution of Capital Market Trade NSE/CMTR/7864
within one hour of closure of trading hours.
Single bulk deal immediately upon the execution of Capital Market Trade NSE/CMTR/4808
within one hour of closure of trading hours.
Before 9:00pm on the trade day Capital Market Trade NSE/MEMB/5917
Before 9:00pm on the trade day Capital Market Trade NSE/MEMB/4973
Before 9:00pm on the trade day Capital Market Trade NSE/CMTR/7898
Before 9:00pm on the trade day Capital Market Trade NSE/CMTR/5914
Before 9:00pm on the trade day Capital Market Trade NSE/CMTR/5420
Before 9:00pm on the trade day Capital Market Trade NSE/CMTR/4974
Before 9:00pm on the trade day Capital Market Trade NSE/MEMB/4972
By 31 July yearly Capital Market Trade NSE/CMTR/01642
By 31 July yearly Capital Market Trade NSE/CMTR/7636
By 31 July yearly Capital Market Trade NSE/CMTR/8195
By 31 July yearly Capital Market Trade NSE/CMTR/8089
By 31 July yearly Capital Market Trade NSE/CMTR/6128
System Audit Report By 31 July yearly Capital Market Trade NSE/CMTR/7634
Upload of CTCL Prior Approval required Capital Market Trade NSE/MEMB/7992
IDs,Activation / Deactivation
/ Shifting of CTCL IDs

Upload of CTCL Prior Approval required Capital Market Trade NSE/MEMB/7913

IDs,Activation / Deactivation
/ Shifting of CTCL IDs

Latest Circular
Nature of compliance Periodicity Department Circular Ref no Number (if any)
Advertisements (Rule (5) (h) Advertisement to be submitted seven days in Compliance Code of advertisement
of Chapter IV of the Rules advance before its publication.Written permission to Website nseindia.com
of the Exchange) be obtained before publication NSE/COMP/13186
Annual Returns Within 6 months from the end of accounting year Compliance NSE/MEMB/2971 NSE/COMP/12476
Appointment and change of Intimation to Exchange Compliance NSE/MEMB/3441
Compliance Officer
Client wise Funding Report Within seven days form the end of the month Compliance NSE/CMTR/8454
Client wise Funding Report Within seven days form the end of the month Compliance NSE/CMTR/6962
Client wise Funding Report Within seven days form the end of the month Compliance NSE/CMTR/6373
Client wise Funding Report Within seven days form the end of the month Compliance NSE/CMTR/6963
Internal Audit Report Half yearly basis -Within 3 months from half year Compliance NSE/INSP/12174 NSE/INSP/13272
ended March and September NSE/INSP/13654
Net worth certificate Half yearly basis – within 3 months from half year Compliance NSE/MEMB/3840
ending NSE/COMP/13259
Networth certificate in Within one month from the end of half year Compliance NSE/MEMB/4972
Margin Trading for CM
Segment
Networth certificate in Within one month from the end of half year Compliance NSE/MEMB/4973
Margin Trading for CM
Segment
Proof of Insurance cover By July 31 yearly Compliance NSE/MEMB/3476 NSE/COMP/9037
Latest Circular
Nature of compliance Periodicity Department Circular Ref no Number (if any)
Appointment of Authorized Prior Approval required. Membership NSE/MEMB/6882
personal in F&O segment
change in address of member Intimation to Exchange Membership NSE/MEMB/5239

change in address of member Intimation to Exchange Membership NSE/MEMB/3655

Change in directors Prior Approval required Membership NSE/MEMB/9314

change in name of member
change in shareholding
Change in status and
constitution
increase in share capital
Upload of DMA IDs
Nature of compliance
Members trading through
other members
Pay in of Funds (CM)
Pay in of Funds (F&O)
Pay in of Funds (CDS)
Pay in of Funds (SLB)
Pay in of Funds (MFSS)
Client Margin Reporting
Client Code Modification
File (CLD)*
Client Code Modification
File (CLD)*
Client Direct Payout File
(CPD)*
Contraction of custodial
Trades file
Contraction of custodial
Trades file
Intimation to Exchange Membership NSE/MEMB/10363
Prior Approval required Membership NSE/MEMB/9314
Prior Approval required Membership NSE/MEMB/4299
Prior Approval required Membership NSE/MEMB/9314
Prior Approval required Membership NSE/MEMB/11019
Latest Circular
Periodicity Department Circular Ref no Number (if any)
Intimation / Prior Approval required NSCCL – F&O Trading NSE/FAOP/4758
On T+2 day by stipulated pay-in time NSCCL – Funds NSE/CMPT/4991 (NSE/CMPT/13060)
On a T+1 day basis by stipulated pay-in time NSCCL – Funds - (NSE/CMPT/13061)
Daily mark to market settlement by 8:30 am on T+1 NSCCL – Funds -
day
Final settlement by 8:30 am on T+2 day (NSE/CD/11650)
On T+1 day by 9:30 am NSCCL – Funds - (NSE/CMPT/11757)
On the T+1 day by 8:30 a.m. NSCCL – Funds - (NSE/CMPT/13534)
Within two days from trade date NSCCL - Risk NSE/CMPT/7825 NSCCL/CMPT/13061
On T day by 4.45 pm NSCCL - Securities NSE/CMPT/5591
On T day by 4.45 pm NSCCL - Securities NSE/CMPT/02822
On T+2 day by 9.30 am NSCCL - Securities NSE/CMPT/4006
On T day, I upload 6.30 pm On T+1 day, II upload NSCCL - Securities NSE/CMPT/6653
9.30 am
On T day, I upload 6.30 pm On T+1 day, II upload NSCCL - Securities NSE/CMPT/6323
9.30 am
CP Code Modification (CP)* On T day by 4.45 pm NSCCL - Securities NSE/CMPT/6119

CP Code Modification (CP)* On T day by 4.45 pm NSCCL - Securities NSE/CMPT/5817

CP Code Modification (CP)* On T day by 4.45 pm NSCCL - Securities NSE/CMPT/0750

Obligation Transfer File On T day, I upload 6.00 pm,II upload 6.30 pm,On NSCCL - Securities NSE/CMPT/5817
(OTR)* T+1 day, III upload 9.30 am
Obligation Transfer File On T day, I upload 6.00 pm,II upload 6.30 pm,On NSCCL - Securities NSE/CMPT/1640
(OTR)* T+1 day, III upload 9.30 am
Obligation Transfer File On T day, I upload 6.00 pm,II upload 6.30 pm,On NSCCL - Securities NSE/CMPT/6653
(OTR)* T+1 day, III upload 9.30 am
Reallocation of custodial On T+1 day by 9.30 am NSCCL - Securities NSE/CMPT/6656
Trades file (RC)*
Reallocation of custodial On T+1 day by 9.30 am NSCCL - Securities NSE/CMPT/6653
Trades file (RC)*
Early Pay In (CEP) Client On T+2 day up to 10.30 am NSCCL – Securities NSE/CMPT/6481
allocation file*
Pay in of Securities On T+2 day by 10.30 am NSCCL – Securities NSE/CMPT/4991