Self-regulatory organisation

A self-regulatory organisation is an industry body with delegated authority to write and enforce rules for its members, subject to regulatory oversight. FINRA and the US exchanges are the main examples, and they usually detect manipulation before the government does.

Also known as SRO. law and enforcement · updated 2026-11-06

See also

• FINRA — FINRA is the self-regulatory organisation for US broker-dealers. It runs cross-venue equity surveillance, brings its own disciplin…
• Surveillance — Surveillance, in a market context, is the automated monitoring of order and trade data for patterns that suggest abuse. Exchanges,…

Terms that refer here

FINRA · Referral

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