Self-Regulatory Organization - SRO


DEFINITION of 'Self-Regulatory Organization - SRO'

A non-governmental organization that has the power to create and enforce industry regulations and standards. The priority is to protect investors through the establishment of rules that promote ethics and equality.

BREAKING DOWN 'Self-Regulatory Organization - SRO'

Some examples of SROs include stock exchanges, the Investment Dealers Association of Canada, and the National Association of Securities Dealers in the United States.

  1. SEC Form 19b-4

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  2. SEC Form 19b-4(e)

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  3. Investment Industry Regulatory ...

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  4. Exchange

    A marketplace in which securities, commodities, derivatives and ...
  5. Industry

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  6. National Association Of Securities ...

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