Department of Disinvestment, Ministry of Finance, Govt. of India

20 September 2014 7:28:21 PM

SEBI ICDR REGULATIONS 2009



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CHAPTER I PRELIMINARY
CHAPTER II COMMON CONDITIONS FOR PUBLIC ISSUES AND RIGHTS ISSUES
CHAPTER III PROVISIONS AS TO PUBLIC ISSUE
     PART I ELIGIBILITY REQUIREMENTS
     PART II PRICING IN PUBLIC ISSUE
     PART III PROMOTERS' CONTRIBUTION
     PART IV RESTRICTION ON TRANSFERABILITY (LOCK-IN) OF PROMOTERS' CONTRIBUTION, ETC.
     PART V MINIMUM OFFER TO PUBLIC, RESERVATIONS, ETC.
CHAPTER IV RIGHTS ISSUE
CHAPTER V MANNER OF DISCLOSURES IN THE OFFER DOCUMENTS
CHAPTER VI GENERAL OBLIGATIONS OF ISSUER AND INTERMEDIARIES WITH RESPECT TO PUBLIC ISSUE AND RIGHTS ISSUE
CHAPTER VII PREFERENTIAL ISSUE
CHAPTER VIII QUALIFIED INSTITUTIONS PLACEMENT
CHAPTER IX BONUS ISSUE
CHAPTER X ISSUE OF INDIAN DEPOSITORY RECEIPTS
CHAPTER XA ISSUE OF SPECIFIED SECURITIES BY SMALL AND MEDIUM ENTERPRISES
CHAPTER XI MISCELLANEOUS

SCHEDULE I INTER-SE ALLOCATION OF RESPONSIBILITIES
SCHEDULE II FORMAT OF AGREEMENT BETWEEN LEAD MERCHANT BANKERS TO THE ISSUE AND ISSUER/ISSUING COMPANY
SCHEDULE III MANDATORY COLLECTION CENTRES
SCHEDULE IV FEES TO BE PAID ALONG WITH OFFER DOCUMENT
     PART A FEES TO BE PAID ALONG WITH DRAFT OFFER DOCUMENT OR IN CASE OF A FAST TRACK ISSUE, ALONG WITH OFFER DOCUMENT
     PART B FEES TO BE PAID ALONG WITH UPDATED OFFER DOCUMENT
SCHEDULE V MANNER OF SUBMISSION OF SOFT COPY OF DRAFT OFFER DOCUMENT AND OFFER DOCUMENT TO THE BOARD
SCHEDULE VI FORMATS OF DUE DILIGENCE CERTIFICATES
     FORM A FORMAT OF DUE DILIGENCE CERTIFICATE TO BE GIVEN BY MERCHANT BANKER ALONG WITH DRAFT OFFER DOCUMENT
     FORM B FORMAT OF DUE DILIGENCE CERTIFICATE TO BE GIVEN BY DEBENTURE TRUSTEE ALONG WITH DRAFT OFFER DOCUMENT
     FORM C FORMAT OF DUE DILIGENCE CERTIFICATE TO BE GIVEN BY MERCHANT BANKER AT THE TIME OF REGISTERING OFFER DOCUMENT WITH THE REGISTRAR OF COMPANIES/ FILING LETTER OF OFFER WITH THE DESIGNATED STOCK EXCHANGE
     FORM D FORMAT OF DUE DILIGENCE CERTIFICATE TO BE GIVEN BY MERCHANT BANKER IMMEDIATELY BEFORE OPENING OF THE ISSUE
     FORM E FORMAT OF DUE DILIGENCE CERTIFICATE TO BE GIVEN BY MERCHANT BANKER AFTER OPENING OF THE ISSUE BUT BEFORE CLOSURE OF SUBSCRIPTION
     FORM F ADDITIONAL CONFIRMATIONS/ CERTIFICATION TO BE GIVEN BY MERCHANT BANKER IN DUE DILIGENCE CERTIFICATE TO BE GIVEN ALONG WITH OFFER DOCUMENT FOR FAST TRACK ISSUE
     FORM G FORMAT OF DUE DILIGENCE CERTIFICATE TO BE GIVEN BY MERCHANT BANKER ALONG WITH FINAL POST ISSUE REPORT
     FORM H ADDITIONAL CONFIRMATIONS/ CERTIFICATION TO BE GIVEN BY MERCHANT BANKER IN DUE DILIGENCE CERTIFICATE TO BE GIVEN ALONG WITH OFFER DOCUMENT REGARDING SME EXCHANGE
SCHEDULE VII NATURE OF UPDATION/ CHANGES IN THE OFFER DOCUMENT AND CONSEQUENT STEPS THEREIN REQUIRING FILING OF UPDATED OFFER DOCUMENT
SCHEDULE VIII DISCLOSURES IN OFFER DOCUMENT, ABRIDGED PROSPECTUS AND ABRIDGED LETTER OF OFFER
     PART A DISCLOSURES IN RED HERRING PROSPECTUS, SHELF PROSPECTUS AND PROSPECTUS
     PART B CERTAIN DISCLOSURES NOT MANDATORY IN CASE OF FAST TRACK PUBLIC ISSUE
     PART C CERTAIN DISCLOSURES NOT MANDATORY IN CASE OF FURTHER PUBLIC OFFER
     PART D DISCLOSURES IN ABRIDGED PROSPECTUS
     PART E DISCLOSURES IN LETTER OF OFFER
     PART F DISCLOSURES IN ABRIDGED LETTER OF OFFER
SCHEDULE IX FORMAT OF REPORT TO BE SUBMITTED BY MONITORING AGENCY
SCHEDULE X FACILITIES OR SERVICES INCLUDED IN THE TERM "INFRASTRUCTURE SECTOR"
SCHEDULE XI BOOK BUILDING PROCESS
     PART A BOOK BUILDING PROCESS
     PART B FORMAT OF BID DATA DISPLAYED ON STOCK EXCHANGE
     PART C ILLUSTRATION REGARDING ALLOTMENT TO QUALIFIED [INSTITUTIONAL] BUYERS OTHER THAN ANCHOR INVESTORS
     PART D ALTERNATE METHOD OF BOOK BUILDING
SCHEDULE XII FORMAT OF REPORT FOR GREEN SHOE OPTION
SCHEDULE XIII FORMATS OF ADVERTISEMENTS FOR PUBLIC ISSUE
     PART A FORMAT OF PRE-ISSUE ADVERTISEMENT FOR PUBLIC ISSUE (FIXED PRICE/ BOOKBUILT)
     PART B FORMAT OF ISSUE OPENING ADVERTISEMENT FOR PUBLIC ISSUE (FIXED PRICE/ BOOKBUILT)
     PART C FORMAT OF ISSUE CLOSING ADVERTISEMENT FOR PUBLIC ISSUE (FIXED PRICE/ BOOKBUILT)
SCHEDULE XIV ILLUSTRATION EXPLAINING MINIMUM APPLICATION SIZE
SCHEDULE XV ILLUSTRATION EXPLAINING PROCEDURE OF ALLOTMENT
SCHEDULE XVI FORMATS OF POST ISSUE REPORTS
     PART A FORMAT OF INITIAL POST ISSUE REPORT FOR PUBLIC ISSUE
     PART B FORMAT OF INITIAL POST ISSUE REPORT FOR RIGHTS ISSUE
     PART C FORMAT OF FINAL POST ISSUE REPORT FOR PUBLIC ISSUE
     PART D FORMAT OF FINAL POST ISSUE REPORT FOR RIGHTS ISSUE
SCHEDULE XVII FORMAT OF UNDERWRITING DEVOLVEMENT STATEMENT
SCHEDULE XVIII DISCLOSURES IN PLACEMENT DOCUMENT
SCHEDULE XIX DISCLOSURES IN PROSPECTUS AND ABRIDGED PROSPECTUS FOR ISSUE OF INDIAN DEPOSITORY RECEIPTS
     PART A DISCLOSURES IN PROSPECTUS FOR ISSUE OF INDIAN DEPOSITORY RECEIPTS
     PART B DISCLOSURES IN ABRIDGED PROSPECTUS FOR ISSUE OF INDIAN DEPOSITORY RECEIPTS
     PART C FORMAT OF THE DUE DILIGENCE CERTIFICATE TO BE FILED BY THE LEAD MANAGER FOR IDR ISSUES
SCHEDULE XX AMENDMENTS TO OTHER REGULATIONS
 
    AMENDMENTS
 
Date Name
November 12, 2010 Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements)(Fourth Amendment) Regulations, 2010 
April 29, 2011 SEBI (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2011 

 
 
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