self-regulatory organization (SRO)
An organization that is authorized to develop and enforce regulations for an industry. NASD, NYSE Regulation, Financial Accounting Standards Board (FASB), International Accounting Standards Board (IASB) and the National Futures Association (NFA) are all examples of self-regulatory organizations.
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Office Of Compliance Inspections and Examinations (OCIE)
Maloney Act
Securities and Exchange Commission (SEC)
NYSE Regulation
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