What does sro mean

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If by any chance you spot an inappropriate comment while navigating through our website please use this form to let us know, and we'll take care of it shortly. Forgot your password? Retrieve it. Abbreviation » Term. Term » Abbreviation. Word in Term. Term » Abbr. Filter by: Select category from list What does SRO mean? Couldn't find the full form or full meaning of SRO? Notify me of new comments via email. Jackie D Mulrooney. Sign up now or Log in. Definitions Clear explanations of natural written and spoken English.

Click on the arrows to change the translation direction. Follow us. Choose a dictionary. Clear explanations of natural written and spoken English. Usage explanations of natural written and spoken English. Grammar Thesaurus. Word Lists. Choose your language. My word lists. The rules and regulations promoted and enforced by FINRA are, thus, under the auspices of a self-regulatory framework.

SRO stands for "self-regulatory organization". With an SRO, the principles and rules that govern the organization have been formulated and approved by its members, and members agree to adhere to them or face penalties such as fines or expulsion from the organization. Still, SROs may be subject to government regulation. An SRO is usually formed by an industry or professional group to oversee activities within that industry or profession.

As such, SROs can admit, reprimand, or expel members based on established rules and criteria. SROs thus have oversight, surveillance, and enforcement mechanisms in place to ensure members are conforming to its standards. Many stock exchanges and other professional bodies in the world of finance are structured as SROs.

Moreover, SROs also exist outside of finance. No, the U. It is thus governed by federal securities laws and not membership-based rules. Financial Advisor Careers.

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We and our partners process data to: Actively scan device characteristics for identification. I Accept Show Purposes. Your Money. Personal Finance. Your Practice. Popular Courses. Stock Markets Guide to Bear Markets. Markets Stock Markets. Key Takeaways A self-regulatory organization SRO is one that has the power to set industry standards and regulations through its own efforts.