A self-regulatory organization. In securities arbitration, an SRO is a securities association or securities exchange such as the New York Stock Exchange (NYSE) or the National Association of Securities Dealers (NASD).
Self Regulatory Organization. The principal means contemplated by the federal securities laws for the enforcement of fair, ethical, and efficient practices in the securities and commodities futures industries.
A self-regulatory organization. An organization of security dealers or stockbrokers, such as a mutually-owned stock exchange or the NASD, which has been granted regulatory authority over aspects of the security business such as trading rules, etc.
Self-Regulating Organizations
Self-Referral Option. Offered to some Blue Care Network members.
Most investment business is carried out by 6,250 firms regulated by three self-regulating organisations (SROs) recognised by the Financial Services Authority. An SRO is a body which, once recognised by the FSA, has the power to authorise firms to conduct investment business in the UK (and now, under the Investment Services Directive, throughout the European Economic Area). The SROs include Imro, the SFA and the PIA.
Self Regulating Organisation.
SELF REGULATORY ORGANIZATION. Organizations and associations, such as exchanges, the NASD and MSRB, which set industry rules.
Self Regulatory Organisation. SIB delegates day to day management of supervision of investment business to the sector SROs, which provide rules and direct supervision to their members.
See Self-Regulatory Organization.
An organization recognized by the SIB and responsible for monitoring the conduct of business by, and capital adequacy of, investment firms.