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
BNYM DOES NOT WARRANT THAT USE OF THE 22C-2 SYSTEM BY COMPANY GUARANTEES COMPLIANCE WITH RULE 22C-2 OR ANY OTHER FEDERAL, STATE, LOCAL OR SRO LAW OR REGULATION.
More Definitions of 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 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 means a 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 3.06(a).