Self-regulatory Organization

Self-regulatory Organization in the United States

Definition of Self-regulatory organization in the Uniform Securities Act (2002)

“Self-regulatory organization” means a national securities exchange registered under the Securities Exchange Act of 1934, a national securities association of broker-dealers registered under the Securities Exchange Act of 1934, a clearing agency registered under the Securities Exchange Act of 1934, or the Municipal Securities Rulemaking Board established under the Securities Exchange Act of 1934.


Posted

in

,

by

Comments

Leave a Reply

Your email address will not be published. Required fields are marked *