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Rule 17
<br> to apply for securities registration
Any organized organization under section 7f of the Act. In order to register the securities for the purpose of, an application must be submitted to the Board in the format as per Schedule-4. With the application given in this way, the fee as per schedule-5 required for registering the securities should also be attached.
(2) With the application as per sub-rule (1), the related organization shall also attach the following details and documents:-
(a) Articles of association, rules and prospectus of organized organizations.
(b) In case of an organization formed under any Act, the rules and regulations and prospectus made under that Act.
(c) Details of movable and immovable assets.
(d) The type, number and face value of the securities issued or to be issued, the amount and period, and if special rights have been provided for any securities.
(D1) If the securities to be issued are debentures or bonds, the reasons for issuing such debentures or bonds, the justification and the decision made by the board of directors of the said incorporated organization and the details of the main work to be done from the amount raised by issuing debentures or bonds.
(D2) If there is a certificate related to securities unit savings program and group savings program to be issued, the right to issue such certificate and the legal existence of such program, documents related to the prospectus or agreement, the target group and the investment policy of the amount raised from such program, the areas where investment can be made, the limits , financial profit distribution system, arrangements related to expense deduction, arrangements related to purchase and sale of securities, details related to the operation of such program and other actions for providing investment management services.
(e) Other terms and conditions of issuance of securities.
(f) If the securities are to be issued at a premium or discount, the reason and justification thereof.
(g) If there is a difference in the price of the securities issued earlier and the securities to be issued now, the reason and justification thereof.
(h) If securities have been previously issued, the type, number, andDetails of business transactions within the last three years.
(i) Arrangements made or to be made in connection with the issue and sale of the securities to be issued and arrangements and guarantees.
(j) Arrangements regarding profit sharing or bonuses.
(k) Arrangements regarding representation in the board of directors in case of securities shares.
(l) Profit and loss account and balance sheet for the last three years and the projected three years after the audit and the name and address of the auditor.
(D) In case of a newly established organization, the feasibility study report and the name, address of the expert preparing such report and the projected profit and loss and balance sheet for the next three years.
(d) The name, surname of the founding shareholders, the number of shares they will take and the method of payment and if there is an arrangement for the representation of the founding shareholders in the board of directors.
(2) With the application as per sub-rule (1), the related organization shall also attach the following details and documents:-
(a) Articles of association, rules and prospectus of organized organizations.
(b) In case of an organization formed under any Act, the rules and regulations and prospectus made under that Act.
(c) Details of movable and immovable assets.
(d) The type, number and face value of the securities issued or to be issued, the amount and period, and if special rights have been provided for any securities.
(D1) If the securities to be issued are debentures or bonds, the reasons for issuing such debentures or bonds, the justification and the decision made by the board of directors of the said incorporated organization and the details of the main work to be done from the amount raised by issuing debentures or bonds.
(D2) If there is a certificate related to securities unit savings program and group savings program to be issued, the right to issue such certificate and the legal existence of such program, documents related to the prospectus or agreement, the target group and the investment policy of the amount raised from such program, the areas where investment can be made, the limits , financial profit distribution system, arrangements related to expense deduction, arrangements related to purchase and sale of securities, details related to the operation of such program and other actions for providing investment management services.
(e) Other terms and conditions of issuance of securities.
(f) If the securities are to be issued at a premium or discount, the reason and justification thereof.
(g) If there is a difference in the price of the securities issued earlier and the securities to be issued now, the reason and justification thereof.
(h) If securities have been previously issued, the type, number, andDetails of business transactions within the last three years.
(i) Arrangements made or to be made in connection with the issue and sale of the securities to be issued and arrangements and guarantees.
(j) Arrangements regarding profit sharing or bonuses.
(k) Arrangements regarding representation in the board of directors in case of securities shares.
(l) Profit and loss account and balance sheet for the last three years and the projected three years after the audit and the name and address of the auditor.
(D) In case of a newly established organization, the feasibility study report and the name, address of the expert preparing such report and the projected profit and loss and balance sheet for the next three years.
(d) The name, surname of the founding shareholders, the number of shares they will take and the method of payment and if there is an arrangement for the representation of the founding shareholders in the board of directors.