A self-regulatory organization or SRO is an organization that exercises some degree of regulatory authority over an industry or profession. A self-regulatory organization or SRO is responsible for regulating its members by adopting and enforcing rules that govern its members’ business conduct.
On July 26, 2007 the SEC approved a merger of the enforcement arms of the NYSE and the NASD, to form a new self-regulatory organization or SRO, the Financial Industry Regulatory Authority (FINRA).
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