2.7 Self-Regulatory Organizations (SROs)

In this section

• Role and Functions of Self-Regulatory Organizations (SROs) in the Securities Industry
  Explore the critical role and functions of Self-Regulatory Organizations (SROs) like FINRA and MSRB in the securities industry. Understand how SROs enforce industry regulations and complement the SEC's oversight.
• Compliance and Enforcement in Self-Regulatory Organizations
  Explore how Self-Regulatory Organizations (SROs) ensure compliance and enforce regulations within the securities industry, focusing on monitoring, enforcement mechanisms, and cooperation.