Self-Regulatory Organization
Securities Exchange Act of 1934
Herausgegeben: Eyvindr, Lennox Raphael
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A self-regulatory organization (SRO) is an organization that exercises some degree of regulatory authority over an industry or profession. The regulatory authority could be applied in addition to some form of government regulation, or it could fill the vacuum of an absence of government oversight and regulation. The ability of an SRO to exercise regulatory authority does not necessarily derive from a grant of authority from the government. In United States securities law, a self-regulatory organization is a defined term. The principal federal regulatory authority the Securities and Exchange Co...
A self-regulatory organization (SRO) is an organization that exercises some degree of regulatory authority over an industry or profession. The regulatory authority could be applied in addition to some form of government regulation, or it could fill the vacuum of an absence of government oversight and regulation. The ability of an SRO to exercise regulatory authority does not necessarily derive from a grant of authority from the government. In United States securities law, a self-regulatory organization is a defined term. The principal federal regulatory authority the Securities and Exchange Commission (SEC) was established by the Federal Securities Exchange Act of 1934. The SEC originally delegated authority to the National Association of Securities Dealers (the NASD) and to the national stock exchanges (e.g., the NYSE) to enforce certain industry standards and requirements related to securities trading and brokerage.
