Important Note.
Honorable SEBI has issued the Common and Simplified Norms for
processing investor’s service request by RTAs and norms for
furnishing PAN, KYC details and Nomination vide Circular No.
SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2021/655 dated November 3, 2021
and amendments thereof.
Stakeholders are requested to follow the aforesaid circulars and
should place the request with us accordingly. In case, the
request is not made as per the Circulars, the same shall be
rejected and will not be taken into consideration.
SEBI Shareholder Request related Circulars & FAQs.
FAQs with respect to Investor Service Requests processed
by RTA vide March 30, 2023
SEBI Circular No. SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/37
vide March 16, 2023
SEBI Circular No. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8
vide January 25, 2022
SEBI Circular No. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2021/687
vide December 14, 2021
SEBI Circular No. SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2021/655
dated November 3, 2021
Forms for availing various Investor services.
Registration / Updation of PAN -----> Form ISR 1
Registration / Updation of Nominee -----> Form SH –13, SH
–14 or ISR –3 (As applicable)
Registration / Updation of Contact details (postal
address, Mobile number & E-mail) -----> Form ISR 1
Registration / Updation of Bank details -----> Form ISR 1
Registration / Updation of Signature -----> Form ISR –1,
ISR –2 (As applicable)
Issue of Duplicate Share/ Debenture certificate ----->
Form ISR –4
Replacement / Renewal / Exchange of securities certificate
-----> Form ISR –4
Consolidation of securities certificate -----> Form ISR –4
Sub-division / Splitting of securities certificate ----->
Form ISR –4
Consolidation of folios -----> Form ISR –4
Endorsement of Share/ Debenture -----> Form ISR –4
Transposition of Share/ Debenture -----> Form ISR –4
Change in the name of the holder -----> Form ISR –4
Claim from Unclaimed Suspense Account& Suspense Escrow
Demat Account -----> Form ISR –4
Change in status from Minor to Major and Resident to NRI
and vice versa -----> Request Letter
Transmission of Share/ Debenture -----> Form ISR –5
KYC & Other Investor Request Format Downloads.
Investor Service Form ISR 1 [Investor Request (KYC) - New
Format w.e.f. April 1, 2023]
Investor Service Form ISR 1 [Investor Request (KYC) - Old
Format]
Investor Service Form ISR 2 [Verification of Signature by
Banker]
Investor Service Form ISR 3 [Declaration to Opt Out from
Nomination - New Format w.e.f. April 1, 2023]
Investor Service Form ISR 3 [Declaration to Opt Out from
Nomination - Old Format]
Investor Service Form ISR 4 [Duplicate Certificate and
other Service Requests]
Investor Service Form ISR 5 [Transmission of Securities by
Nominee or Legal Heir]
Nomination Form SH 13
Modification in Nominee Form SH 14
Transmission of Share/ Debenture Certificate.
SEBI Circular & Formats for Transmission of Share/
Debenture [New Format w.e.f. May 18, 2022]
Instructions & Request Letter [Old Format - Discontinued]
Format for Affidavit [Old Format - Discontinued]
Format for Indemnity Bond [Old Format - Discontinued]
Format for No Objection Certificate [Old Format -
Discontinued]