SRO definition

SRO means (i) any “self-regulatory organization” as defined in Section 3(a)(26) of the Exchange Act and (ii) any other United States or foreign securities exchange, futures exchange, commodities exchange or contract market.

SRO means any self-regulatory organization, including national securities exchanges and national securities associations.

SRO means any self-regulatory organization within the meaning of Section 3(a)(26) of the Exchange Act.

Examples of SRO in a sentence

Company agrees to comply with all applicable anti-money laundering laws, regulations, rules and government guidance, including the reporting, record keeping and compliance requirements of the Bank Secrecy Act ("BSA"), as amended by The International Money Laundering Abatement and Financial Anti-Terrorism Act of 2002, Title III of the USA PATRIOT Act (the “PATRIOT Act"), its implementing regulations, and related SEC and SRO rules.
The parties agree to abide by all federal and state law, rules and regulations and SRO regulations applicable to such party in connection with the performance of its obligations under this Agreement regarding the sale of the respective Variable, RILA, and Fixed Contracts.
Broker/Dealer will comply with the provisions of Section 352 of the USA PATRIOT Act, and all applicable implementing regulations promulgated by either the Secretary of the United States Treasury or the SEC or SRO.

SRO means the NASD, the National Futures Association, each national securities exchange in the United States and each other board or body, whether United States or foreign, that is charged with the supervision or regulation of brokers, dealers, commodity pool operators, commodity trading advisers, futures commission merchants, securities underwriting or trading, stock exchanges, commodities exchanges, insurance companies or agents, investment companies or investment advisers.

SRO means a self-regulatory organization.

SRO means any self-regulatory organization as such term is defined under the 1934 Act.

SRO means any domestic or foreign securities, broker-dealer, investment adviser and insurance industry self-regulatory organization.

SRO has the meaning set forth in Section 4.4(a).

SRO means a self-regulatory organization, a self-regulatory body or an exchange.

SRO has the meaning set forth in Section 3.5.