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A Self-Regulatory Organization / SRO is an industry authority, which regulates its own members. FINRA, NYSE, and MSRB are all self-regulatory organizations, which regulate their own members. As a condition of membership the organization must agree to be governed by and to abide by the rules and regulations of the SRO.
A Self-Regulatory Organization / SRO as a condition of membership requires that its members adhere to strict rules of conduct set forth by the organization. Members of the Self-Regulatory Organization also must agree to be regulated by the organization and to accept its rules and findings in cases of violations. Members who violate the rules may find themselves expelled from the SRO. All industry self regulatory organizations are ultimately governed by and answer to the Securities Exchange Commission or the SEC. The SEC is a direct government body, not a self regulatory organization. The SEC is the ultimate securities industry regulator. Virtually all exams you take will have information tested on the role of the SRO and the rules and regulations members and agents must abide by. Be sure to have a deep understanding of this information prior to sitting for your actual exam. Master all of this information with our exam prep software, textbooks and video training classes. Our greenlight money back guarantee ensures you will be ready to pass your exam.
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The Securities Insitiutte of America, Inc.