securities self-regulatory organization
- securities self-regulatory organization
- securities self-regulatory organization
-
Under Title 11 U.S.C. Section 101:
(48A) The term "securities self regulatory organization" means either a securities association registered with the Securities and Exchange Commission under section 15A of the Securities Exchange Act of 1934 or a national securities exchange registered with the Securities and Exchange Commission under section 6 of the Securities Exchange Act of 1934.
United Glossary of Bankruptcy Terms
2012.
Glossary of Bankruptcy.
Look at other dictionaries:
securities self regulatory organization — Under Title 11 U.S.C. Section 101: (48A) The term securities self regulatory organization means either a securities association registered with the Securities and Exchange Commission under section 15A of the Securities Exchange Act of 1934 or a… … Glossary of Bankruptcy
Self-regulatory organization — A self regulatory organization (SRO) is an organization that exercises some degree of regulatory authority over an industry or profession. The regulatory authority could be applied in addition to some form of government regulation, or it could… … Wikipedia
self-regulatory organization — ( SRO) Organizations that enforce fair, ethical, and efficient practices in the securities and commodity futures industries, including all national securities and commodities ( commodity) exchanges and the NASD. Bloomberg Financial Dictionary … Financial and business terms
Self-Regulatory Organization - SRO — A non governmental organization that has the power to create and enforce industry regulations and standards. The priority is to protect investors through the establishment of rules that promote ethics and equality. Some examples of SROs include… … Investment dictionary
Self-Regulating Organization — SRO One of several organizations set up in the UK under the Financial Services Act 1986 to regulate the activities of investment businesses and to draw up and enforce specific codes of conduct. By 1995 the SROs recognized by the Securities and… … Accounting dictionary
Self-Regulating Organization — SRO One of several organizations set up in the UK under the Financial Services Act (1986) to regulate the activities of investment businesses and to draw up and enforce specific codes of conduct. By 1995 the SROs recognized by the Securities and… … Big dictionary of business and management
Investment Industry Regulatory Organization of Canada — The Investment Industry Regulatory Organization of Canada, abbreviated IIROC, is a non profit, national self regulatory organization (also known as an SRO ). Established in 2008 through the merger of the Investment Dealers Association of Canada… … Wikipedia
Investment Industry Regulatory Organization of Canada - IIROC — The governing authority for all debt and equity markets, investments and investment brokers, dealers and providers in Canada. The Investment Industry Regulatory Organization of Canada (IIROC) is a self regulatory organization, similar to the… … Investment dictionary
Securities and Exchange Commission, Bangladesh — Securities and Exchange Commission(SEC) is the regulator of the capital market of Bangladesh,comprising of Dhaka Stock Exchange and Chittagong Stock Exchange.BackgroundSEC was established on 8th June, 1993 under the Securities and Exchange… … Wikipedia
Securities Exchange Act of 1934 — The Securities Exchange Act of 1934 is a law governing the secondary trading of securities (stocks, bonds, and debentures). The Act, 48 Stat. 881 (June 6, 1934), codified at usc|15|78a et seq., was a sweeping piece of legislation. The Act and… … Wikipedia
