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It is registered

Ministry of Justice

Russian Federation

On August 30, 2010 No. 18288

ORDER OF THE FEDERAL SERVICE FOR FINANCIAL MARKETS

of July 20, 2010 No. 10-49/pz-n

About approval of the Regulations on licensed requirements and conditions of implementation of professional activity in the security market

(as amended on 23-07-2013)

According to Item 6 of article 42 of the Federal Law of April 22, 1996 N 39-FZ "About the security market" (The Russian Federation Code, 1996, N 17, Art. 1918; 1998, N 48, Art. 5857; 1999, N 28, Art. 3472; 2001, N 33, Art. 3424; 2002, N 52, Art. 5141; 2004, N 27, Art. 2711; N 31, of Art. 3225; 2005, N 11, Art. 900; N 25, of Art. 2426; 2006, N 1, Art. 5; N 2, of Art. 172; N 17, of Art. 1780; N 31, of Art. 3437; N 43, of Art. 4412; 2007, N 1, Art. 45; N 18, of Art. 2117; N 22, of Art. 2563; N 41, of Art. 4845; N 50, of Art. 6247; N 50, of Art. 6249; 2008, N 44, Art. 4982; N 52 (h 1), Art. 6221; 2009, N 1, Art. 28; N 7, of Art. 777; N 18 (1 h), Art. 2154; N 23, of the Art. 2770, N 29, Art. 3642; N 48, of Art. 5731; N 52, of Art. 6428; 2010, N 17, the Art. 1988), the Regulations on the Federal Service for Financial Markets approved by the order of the Government of the Russian Federation of June 30, 2004 N 317 (The Russian Federation Code, 2004, N 27, Art. 2780; 2005, N 33, Art. 3429; 2006, N 13, Art. 1400; N 52, of Art. 5587; 2007, N 12, Art. 1417; 2008, N 19, Art. 2192; N 46, of Art. 5337; N 3, of Art. 378; 2009, N 6, Art. 738; 2010, N 26, to the Art. 3350), I order:

1. Approve the enclosed Regulations on licensed requirements and conditions of implementation of professional activity in the security market (further - the Provision).

2. Recognize invalid:

the order of the Federal Service for Financial Markets of March 06, 2007 N 07-21/pz-n "About approval of the Procedure for licensing of types of professional activity in the security market" (it is registered by the Ministry of Justice of the Russian Federation on April 23, 2007, registration N 9315);

the order of the Federal Service for Financial Markets of August 09, 2007 N 07-87/pz-n "About modification of the Procedure for licensing of types of professional activity in the security market approved by the order of the Federal Service for Financial Markets of 06.03.2007 of N 07-21/pz-n" (it is registered by the Ministry of Justice of the Russian Federation on September 03, 2007, registration N 10090);

Item 2 of the order of the Federal Service for Financial Markets of September 20, 2007 N 07-100/pz-n "About introduction of amendments to some orders of the Federal Service for Financial Markets" (it is registered by the Ministry of Justice of the Russian Federation on October 15, 2007, registration N 10327);

the order of the Federal Service for Financial Markets of October 07, 2008 N 08-39/pz-n "About modification of the Procedure for licensing of types of professional activity in the security market approved by the order of the Federal Service for Financial Markets of March 6, 2007 N 07-21/pz-n" (it is registered by the Ministry of Justice of the Russian Federation on November 07, 2008, registration N 12588);

the order of the Federal Service for Financial Markets of January 26, 2010 N 10-3/pz-n "About introduction of amendments to some orders of the Federal Service for Financial Markets" (it is registered by the Ministry of Justice of the Russian Federation on March 04, 2010, registration N 16554).

3. Determine that professional participants of the security market within six months from the effective date of this provision shall bring the activities into accord with requirements of Item 2.10 of the Provision and within one year from the effective date of this provision in compliance with requirements of Items 2.1.5 and 2.1.13 of the Provision.

 

Head

V.D.Milovidov

Approved by the Order of the Federal Service for Financial Markets of the Russian Federation of July 20, 2010 No. 10-49/pz-n

Regulations on licensed requirements and conditions of implementation of professional activity in the security market

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