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Want to Become a SEBI-Registered Stock Broker?

  • 10-Aug-2025
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Want to Become a SEBI-Registered Stock Broker?

If you’re looking to enter India’s capital markets as a stock broker, obtaining a SEBI registration is a must. This license not only authorizes you to operate legally but also builds trust with clients and regulators. Here’s a clear breakdown of the process from eligibility to compliance.

1. Who Can Apply?

You must meet SEBI’s basic eligibility norms:

  • Minimum age of 21 years

  • No history of financial fraud or legal disqualification

  • Compliance with SEBI’s net worth requirements

2. Mandatory Certifications

SEBI requires you to clear relevant NISM (National Institute of Securities Markets) examinations. Common certifications include:

  • Equity Derivatives Certification (NISM Series VIII)

  • Compliance Officer Certification (NISM Series IIIA)

  • Any additional modules based on your target market segments

3. Getting Licensed & Registered

The registration process involves both infrastructure setup and regulatory approvals:

  1. Establish your office, IT systems, and trained staff

  2. Obtain membership from a recognized stock exchange like NSE or BSE

  3. Submit Form A to SEBI via the exchange

  4. Undergo SEBI’s review and verification

  5. Receive your official Certificate of Registration

4. Your Duties After Registration

Once you’re licensed, compliance becomes an ongoing responsibility:

  • Maintain accurate accounting records

  • Follow SEBI’s code of conduct at all times

  • Address client grievances within 30 days

  • Inform SEBI of any management or ownership changes

How NBFC Advisor Can Assist

We specialize in helping financial businesses obtain and maintain their SEBI stock broker registration. Our team guides you through the entire process—from application and documentation to post-registration compliance—so you can focus on growing your business.

📌 Schedule your free consultation today
📞 +91 93113 47006

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