NBFC Advisor

Thinking of Becoming a SEBI-Registered Stock Broker?

  • 10-Aug-2025
ENQUIRE NOW

Thinking of Becoming a SEBI-Registered Stock Broker?

A SEBI-registered stock broker license opens the door to operating legally in India’s capital markets. Whether you plan to trade in equities, derivatives, or other securities, you must meet specific eligibility, certification, and compliance requirements set by the Securities and Exchange Board of India (SEBI).

1. Eligibility Criteria

To qualify, you must:

  • Be at least 21 years old

  • Have a clean financial and legal record

  • Meet SEBI’s prescribed net worth requirements

2. Required Certifications

Passing relevant NISM (National Institute of Securities Markets) examinations is mandatory. Depending on your business scope, these may include:

  • NISM Series VIII: Equity Derivatives Certification

  • NISM Series IIIA: Securities Intermediaries Compliance Officer

  • Other applicable NISM modules for market segments you plan to operate in

3. Licensing & Membership Process

The road to becoming a SEBI-registered stock broker involves multiple steps:

  1. Set up infrastructure – office space, IT systems, and qualified staff

  2. Apply for membership with stock exchanges like NSE or BSE

  3. Submit Form A to SEBI through the exchange

  4. Undergo SEBI’s review process

  5. Receive the Certificate of Registration upon approval

4. Post-Registration Compliance

Once licensed, you must maintain ongoing compliance to keep your registration active:

  • Maintain accurate books of accounts

  • Adhere to SEBI’s code of conduct

  • Resolve investor complaints within 30 days

  • Notify SEBI of any management changes promptly

How We Can Help

At NBFC Advisor, we assist financial businesses with end-to-end SEBI licensing and compliance support. From documentation and application filing to post-registration guidance, we ensure you meet every requirement seamlessly.

📌 Contact us today for a free consultation
📞 +91 93113 47006

thinking maintain accurate books registration active maintain ongoing compliance post-registration complianceonce licensed approval4 registration certificate review processreceive exchangeundergo sebi’ bsesubmit form nse stock exchanges membership qualified staffapply systems accountsadhere infrastructure – office space sebi’ conductresolve investor complaints 📌 contact requirement seamlessly meet ensure post-registration guidance application filing documentation compliance support -end sebi licensing end- assist financial businesses helpat nbfc advisor promptlyhow management 30 daysnotify sebi code set sebi-registered stock broker involves multiple steps licensing & membership processthe road exchange board compliance requirements set certification meet specific eligibility securities derivatives equities trade plan capital markets india’ operating legally door sebi-registered stock broker license opens sebi-registered stock broker india sebi eligibility criteriato qualify 21 years oldhave operate in3 market segments securities intermediaries compliance officerother applicable nism modules equity derivatives certificationnism series iiia nism series viii include business scope today depending examinations securities markets national institute required certificationspassing relevant nism prescribed net worth requirements2 legal recordmeet sebi’ clean financial mandatory free consultation📞 +91 93113 47006