Question: My father passed away and had a demat account with shares. The broker is asking for a transmission form. Is this normal?
Answer: Yes. When a demat account holder passes away, the securities need to be transmitted to the legal heir(s) or nominee. The broker and the depository (NSDL or CDSL) require a transmission request form along with supporting documents like the death certificate, proof of identity of the claimant, and either the nominee details or a legal heir certificate/succession certificate depending on the situation. This is a standard process under SEBI and depository regulations

Supporting evidence:
title: sebi.gov.in/simplification-of-procedure-and-standardization-of-formats-of-documents-for-transmission-of-securities-pursuant-to-amendments-to-the-securities-and-
quote: (a) duly signed transmission request form by the legal heir(s)/claimant(s); (b) original death certificate or copy of death certificate attested by the legal heir(s)/claimant(s) subject to verification with the original or copy of death certificate duly attested by a notary public or by a gazetted officer;
10. (c) self-attested copy of the Permanent Account Number card of the legal heir(s)/claimant(s), issued by the Income Tax Department; allowed 'Legal Heirship Certificate or equivalent certificate' as one of the acceptable documents for transmission
context: 5. (b) original death certificate or copy of death certificate attested by the nominee subject to verification with the original or copy of death certificate duly attested by a notary public or by a gazetted officer;
6. (c) self-attested copy of the Permanent Account Number card of the nominee, issued by the Income Tax Department.
7. 6.3 where the securities are held in single name without nomination, the following documents shall be submitted:
8. (a) duly signed transmission request form by the legal heir(s)/claimant(s);
9. (b) original death certificate or copy of death certificate attested by the legal heir(s)/claimant(s) subject to verification with the original or copy of death certificate duly attested by a notary public or by a gazetted officer;
10. (c) self-attested copy of the Permanent Account Number card of the legal heir(s)/claimant(s), issued by the Income Tax Department;
11. (d) a notarized affidavit, in the format provided in Annexure - D to this Circular from all legal heir(s) made on non-judicial stamp paper of appropriate value, to the effect of identification and claim of legal ownership to the securities.
However, in case the legal heir(s)/claimant(s) are named in any of the documents for transmission of securities as mentioned in serial number 8 in Annexure - A to this Circular, an affidavit from such legal heir(s)/claimant(s) alone shall be sufficient;

Subject: Simplification of procedure and standardization of formats of documents for transmission of securities

- (e) a copy of other requisite documents for transmission of securities as may be applicable as per Annexure - A to this Circular, attested by the legal heir(s)/claimant(s) subject to verification with the original or duly attested by a notary public or by a gazetted officer:

READY RECKONER: DOCUMENTS REQUIRED FOR TRANSMISSION OF SECURITIES

1., Documents required for transmission = Transmission Request Form. 1., Sole holder deceased & nomination registered = Annexure C. 1., Sole holder deceased & nomination not registered = Annexure C. 2., Documents required for transmission = Original death certificate or Copy of death certificate attested by a notary public/gazette officer or copy of the death certificate attested by the nominee(s)/claimant(s)/legal heir(s), subject to verification with original by the RTA/Listed Issuer. 2., Sole holder deceased & nomination registered = ✓. 2., Sole holder deceased & nomination not registered = ✓. 3., Do