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Form guide · Source checked 21 October 2026
Trading account: completed client registration and risk choices
Published by Finin2min
Fill the actual trading-account blocks, chosen segments, delivery preferences, tariffs and risk acknowledgements; keep optional authorisations separate.
Source checked 21 October 2026; the cited current instrument and its commencement govern this selected example.
Download and read the completed example
Fictional resident adult individual Meera Rao opens a cash-equity trading account on 20 October 2026 with Example Broker. She chooses no derivatives, margin funding, PoA or DDPI . No genuine KYC , segment signature or account activation is asserted.
Fictional, unsigned completed illustration. It demonstrates this form’s fields; it is not a filed return, medical opinion, official order or proof of an actual transaction.
When and how this form is used
The uniform account-opening pack has mandatory documents and separate optional consents. A checked segment box or generic website acceptance is not a completed signature or authority to trade every segment.
The model separates current KYC Part I from Annexure 8 trading information. Genuine identity, address, bank, demat and verification evidence must agree; no invented KRA/IPV success is supplied.
The 2025 master circular cites the then-current 1992 regulations. The operative stock-broker regulations were replaced in January 2026; the sample identifies that change and uses the saved applicable client-documentation directions.
For the linked demat account, use the nomination norms effective September 2026. Optional PoA / DDPI and a running-account mandate must never be bundled into a forced blanket consent.
The completed fields
KYC and Annexure 8: A–E
| Prescribed field / section | Completed fictional entry |
|---|---|
| KYC Part I / identity / address / verification | Meera Rao; adult resident Indian, born 4 April 1985; salaried engineer. PAN and officially valid identity/address document are synthetic invalid identifiers; model address 14 Example Road, Pune 411001. Current CERSAI /CKYCR KYC template is separate Part I; no fictitious KRA validation or Aadhaar authentication. |
| A bank / B depository | Example Bank, Pune branch, savings account [synthetic invalid], IFSC / MICR [synthetic invalid]. Linked CDSL demat in Meera’s name, Example DP , DP / BO IDs [synthetic invalid]. Actual bank ownership and demat mapping must match the client. |
| C signed trading preferences | Cash equity only; access on active recognised exchanges offered for the chosen segment as required. NSE / BSE model preference, no opted-out active exchange on the facts. F&O, currency, commodity, debt and mutual-fund trading not selected. Actual signatures against choices NOT EXECUTED. |
| D individual / E non-individual | Annual income ₹10–25 lakh; private-sector engineer, five years cash-equity experience; not PEP or related PEP on fictional facts. Non-individual promoters/authorised signatories/net-worth blocks N/A. No claim that this income alone makes derivatives suitable. |
Annexure 8: F–J and declaration
| Prescribed field / section | Completed fictional entry |
|---|---|
| F past actions / G other brokers | No regulatory/exchange proceedings against this fictional applicant in preceding three years. No other broker account, pending dues or dispute on the stated facts; not a declaration about a real person. |
| H additional / I introducer | Electronic contract notes and statements to meera@example.invalid; mobile [synthetic invalid]. No internet/wireless trading selected; five years experience. Introducer optional, not appointed. No authorised corporate dealer because holder is individual. |
| J nomination / linked demat | Linked demat nomination is a separate current Annexure A under the May 2026 circular: Arun Mehta, spouse, 60%; Kavita Shah, sister, 40%, both adults. Trading-account nomination/opt-out and current broker process must be separately recorded; this sample does not present an old trading witness clause as the current demat nomination format. |
| Client declaration / intermediary use | Client must genuinely confirm correctness, update changes and receive the account documents. Model application dated 20 October; signature, original-document check, interview/IPV, KRA status, activation and intermediary stamp NOT EXECUTED. Fictional UCC MR-001 is a model reference only. |
Documents, tariff and separate consent
| Prescribed field / section | Completed fictional entry |
|---|---|
| Mandatory information delivered | Model pack lists KYC Part I, trading Part II, rights and obligations, risk disclosure, guidance note, MITC, tariff and grievance contacts. A website link alone does not evidence actual client delivery/acknowledgement. Each actual document version and delivery record belongs in the client file. |
| Tariff / grievance / risk | Assumed brokerage 0.10% of trade value, no minimum; ₹1,00,000 trade gives ₹100 brokerage before separate applicable statutory/exchange charges. Not a prescribed SEBI tariff. Example Broker grievance officer compliance@example.invalid; actual exchange/ SCORES /ODR routes must be available. Prices can fall; no assured return or loss protection. |
| Optional authorisations | Running-account mandate, PoA , DDPI and electronic-service consent are distinct choices. Here no running-account mandate, PoA or DDPI ; use actual instruction route. Broker must not deny service merely for refusing PoA / DDPI . A risk acknowledgement does not waive statutory duties or authorise unauthorised trades. |
Supporting records and reconciliation
Retain the actual records identified in each field block, approvals/authority, reporting-period reconciliation and genuine submission or delivery evidence. The fictional entries do not establish those underlying facts.
Worked calculation: Assumed brokerage ₹1,00,000×0.10%=₹100, excluding separately applicable charges. Nominee allocation 60%+40%=100%.
Official source and version
Stock Brokers Regulations 2026: commencement on Gazette publication and repeal/savings
29 May 2026 circular, operative 1 September 2026, paragraphs 4–15 and Annexures A/B
Download the official requirement and format pages. The named annexure/regulation governs; adjacent material may share a page. This completed PDF is an educational field transcription, not an exchange XBRL import file or executed certificate.
Use the identified reporting period and entity/transaction branch. A genuine filing must use the competent current exchange/ SEBI /depository channel. Website catalogue numbers are not legal form numbers.
Practical questions
Can I submit the sample as my own completed form?
No. Replace the fictional facts with accurate records, use the competent filing or record-keeping route described above and complete genuine signatures or certifications where required.
What makes the example specific to this form?
Fill the actual trading-account blocks, chosen segments, delivery preferences, tariffs and risk acknowledgements; keep optional authorisations separate. The URL’s form-011 is this website’s catalogue identifier, not an official SEBI statutory form number.