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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NYSE Regulation
Office Of Compliance Inspections and Examinations (OCIE)
self-regulatory organization (SRO)
Maloney Act
Series 7 License
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