Self-Regulatory Organizations (SROs) in the US
Interactive

Self-Regulatory Organizations (SROs) in the US

Intuition Publishing
Updated Sep 24, 2020

There are a number of entities that, though sometimes mistaken for government agencies, are non-governmental institutions that act as self-regulatory organizations (SROs). Here we familiarize ourselves with three of the better known, the Financial Industry Regulatory Authority (FINRA), Municipal Securities Rulemaking Board (MSRB) and the National Futures Association (NFA).