Self-Regulating Organization financial definition of Self-Regulating Organization. Self-Regulating Organization finance term by the Free Online Dictionary.

Self-regulatory organization (SRO)

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.

Self-Regulatory Organization

A professional organization, unaffiliated with a government, having certain, limited regulatory authority over members. An example is the American Dental Association, which has the ability to set standards and enforce discipline over dentists in the United States. In trading, most exchanges are self-regulatory organizations, as are trading-related professional organizations. SROs assist the SEC and government regulators in the maintenance of operating standards and the arbitration of disputes. See also: SICA.

self-regulatory organization (SRO)

A member-operated organization that establishes and enforces minimum standards and rules of conduct. The National Association of Securities Dealers, the National Futures Association, and the New York Stock Exchange are examples of self-regulatory organizations.

Self-regulatory organization (SRO). 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 delivered to the floor of the exchange be filled before orders that originate with traders on the floor, who buy and sell for their own accounts.

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Arbitration Panel Association of Futures Brokers and Dealers Ltd. International Organization of Securities Commissions IOSCO Lead Regulator London Bullion Market NASD National Association of Securities Dealers and Investment Managers National Futures Association Organized Securities Exchange Securities Industry Conference on Arbitration SRO Suitability Rules Threshold Security	But the CRTC forwarded the complaint to the Canadian Broadcast Standards Council (CBSC), the broadcasting industry's voluntary self-regulating organization. Group not yet satisfied with Rogers' apology by Barnsley, Paul / Windspeaker To help an audit committee accomplish its purpose and comply with all of these new requirements, SEC-issued and proposed self-regulating organization rules will require that the committee be given authority to engage independent counsel and other advisers and be provided with appropriate funding to carry out its duties. Understanding the changing role of the audit committee by Roach, Gerald F.; Batten, Amy M. / Business North Carolina A self-regulating organization may be held liable when a patient, client, or customer suffers harm at the hands of a certified professional or by a product that is in compliance with industry standards. Risks of self-regulation by Jacobs, Jerald A. / Association Management	Selective Hedging Self Service Self Tender Self-Amortizing Loan self-amortizing mortgage Self-Assessment self-contained appraisal report Self-Correcting Self-Directed IRA Self-Directed Portfolio Self-Directed Retirement Plan Self-Directed RRSP Self-Employed Borrower Self-Employed Contributions Act Self-Employed Income Self-Employed Individuals Self-Employed Taxpayer Self-Employment Self-Employment Income self-employment tax Self-Financing self-help Self-Inflicted Injury Self-Liquidating Bond Self-Liquidating Loan Self-Regulating Organization Self-Regulatory Organization Self-Selection Self-Similar Self-Supporting Debt Self-Tender Self-Tender Offer Sell Sell a Spread Sell Away Sell Hedge Sell in May and Go Away Sell limit order Sell Off Sell Order Sell Out Sell Plus Sell Plus Order Sell price Sell Short Sell Side sell signal Sell Stop Order Sell the Book sell the paper Sell the Spread	Self-referential acronym Self-Referential Post of the Week self-referentiality self-referentially self-referral Self-Referral Disclosure Protocol self-reflection self-reflective self-reflectively Self-reflexive Self-reflexivity self-reformation self-regard self-regarding Self-Regenerating Suppressor Self-registering self-registering thermometer self-registering thermometer self-registering thermometer Self-regulated Self-regulated Self-regulated Self-regulated Self-regulated learning self-regulated strategy development self-regulating self-regulating self-regulating self-regulating Self-Regulating Insulin Delivery Self-Regulating Organization Self-Regulating Organizations self-regulation self-regulation self-regulation self-regulation Self-regulation organization Self-regulation organization Self-regulation organization Self-regulation organization Self-Regulation Skills Interview Self-regulative self-regulatory Self-regulatory organization Self-regulatory organization Self-regulatory organization Self-Regulatory Organizations Self-Regulatory Organizations Self-Regulatory Organizations Self-Reinforced Thermoplastic Composite Self-reinforcement Self-reinforcement Self-reinforcement Self-reinforcing Self-reinforcing Self-reinforcing self-reinforcing adaptation Self-Reinforcing Mechanism self-reliance self-reliance Self-Reliance for Zambia

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Arbitration Panel
Association of Futures Brokers and Dealers Ltd.
International Organization of Securities Commissions
IOSCO
Lead Regulator
London Bullion Market
NASD
National Association of Securities Dealers and Investment Managers
National Futures Association
Organized Securities Exchange
Securities Industry Conference on Arbitration
SRO
Suitability Rules
Threshold Security

But the CRTC forwarded the complaint to the Canadian Broadcast Standards Council (CBSC), the broadcasting industry's voluntary self-regulating organization.

Group not yet satisfied with Rogers' apology by Barnsley, Paul / Windspeaker

To help an audit committee accomplish its purpose and comply with all of these new requirements, SEC-issued and proposed self-regulating organization rules will require that the committee be given authority to engage independent counsel and other advisers and be provided with appropriate funding to carry out its duties.

Understanding the changing role of the audit committee by Roach, Gerald F.; Batten, Amy M. / Business North Carolina

A self-regulating organization may be held liable when a patient, client, or customer suffers harm at the hands of a certified professional or by a product that is in compliance with industry standards.

Risks of self-regulation by Jacobs, Jerald A. / Association Management

self-amortizing mortgage

Self-Assessment

self-contained appraisal report

Self-Correcting

Self-Directed IRA

Self-Directed Portfolio

Self-Directed Retirement Plan