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Which groups are considered self-regulatory organizations?
Examples of Self-Regulatory Organizations The New York Stock Exchange (NYSE) The Financial Planning Association (FPA) Chicago Board of Trade (CBOT) American Council of Life Insurers (ACLI) Financial Industry Regulatory Authority, Inc. Fixed Income Clearing Corporation (FICC) Options Clearing Corporation (OCC)
How do I contact the NRD?
In order to use NRD, firms must enroll by completing three enrolment forms and paying the enrolment fees. For more information, visit the nrd-info website at .nrd-info.ca or contact the CSA Service Desk at 1-800-219-5381.
What is an authorizing SRO?
Authorizing SRO means each of the authorizing self-regulatory organizations (i.e., each CTA Plan Participant, each CQ Plan Participant and NYSE).
Who is an approved person of SRO?
Approved person means, in respect of a member (Member) of the Investment Industry Regulatory Organization of Canada (IIROC), an individual who is a partner, director, officer, employee or agent of a Member who is approved by IIROC or another Canadian SRO to perform any function required under any IIROC or other
What is a private SRO?
A typical SRO room consists of one room of about 10 x 10 feet with shared bathrooms and minimal or no cooking facilities. Public SROs are owned and operated by a government or non-profit agency. Private SROs are owned by a private owner and may be privately operated or operated by a non-profit. Social Enterprise.
A Self-Regulatory Organization / SRO as a condition of membership requires that its members adhere to strict rules of conduct set forth by the organization. Members of the Self-Regulatory Organization also must agree to be regulated by the organization and to accept its rules and findings in cases of violations.
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