When we talk about securities, we’re talking about financial instruments that serve as evidence of an individual’s or company’s ownership or creditor status. Owners of securities are entitled to various benefits based on the earnings and assets of the company they hold, or on the basis of the voting power that comes with their ownership. Securities are regulated in order to protect investors from being duped, to make trading easier, to keep the trading system honest, and to keep securities fraud at bay. Regulating the behavior of people who issue securities, licencing securities brokers and dealers, and even regulating individual investors can all help achieve this goal. It is the author's goal in this study to demonstrate the critical role that stock brokers and sub brokers play in global capital market movements, particularly in India. Section 30 of the Securities and Exchange Board of India (SEBI) Act, 1992 grants the SEBI (Stock Brokers and Sub Brokers) Regulations, 1992 the authority to make regulations for stock brokers and sub brokers, which it did on October 23, 1992. Stock brokers and sub-brokers play an important part in global capital market trends, as well as recent developments in capital markets and current case law.

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