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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Series 7 License
NYSE Regulation
bulletin board stock
self-regulatory organization (SRO)
Office Of Compliance Inspections and Examinations (OCIE)
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