Organizations that enforce fair, ethical, and efficient practices in the securities and commodity futures industries, including all national securities and commodities exchanges and the NASD.

All securities and commodities exchanges in the United States are self-regulatory organizations (SROs), as is NASD. These bodies establish the standards under which their members conduct business, monitor the way that business is conducted, and enforce their own rules. For example, the New York Stock Exchange (NYSE) requires that client orders deli [..]

Definition SRO. Non-government organization which has statutory responsibility to regulate its own members through the adoption and enforcement of rules of conduct for fair, ethical and efficient prac [..]

An organization that has been given the responsibility and authority to regulate its members. Examples include the Toronto Stock Exchange and the Investment Dealers Association.

The term self-regulatory organization means, “any national securities exchange, registered securities association, or registered clearing agency, or the Municipal Securities Rulemaking Board establish [..]

A body that represents a profession (e.g., lawyers, notaries, other independent legal professionals or accountants), and which is made up of member professionals, has a role in regulating the persons [..]

Under provincial securities laws, a securities commission may recognize an SRO if it is satisfied that doing so would be in the public interest. This allows the SRO to regulate the standards of practi [..]

Organizations that enforce fair, ethical, and efficient practices in the securities and commodity futures industries, including all national securities and commodities exchanges and the NASD.