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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bulletin board stock
Series 7 License
Maloney Act
National Association of Securities Dealers (NASD)
Securities and Exchange Commission (SEC)
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