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vp.playFromPlaylist(pls[pls.length-1]); vp.playVideo(); scrollToPlaylistPosition(vp); }); return true; } } if(playQueue){ playQueueUpdate(); vp.playVideo(); parsed = true; playShouldStart = 0; } } if(previewMode){ var vids = []; var dur = 0; var pl = vp.getActualPlaylist(); area = parts[0]; if(parts.length == 1 && matchPosition(parts[0])){ vids = parseDash('1-'+pl.length); dur = parsePosition(parts[0]); parts = []; }else if(parts.length == 1 && matchDash(parts[0])){ vids = parseDash(parts[0]); dur = parsePosition("999:59"); parts = []; } if(parts.length == 2 && matchDash(parts[0]) && matchPosition(parts[1])){ vids = parseDash(parts[0]); dur = parsePosition(parts[1]); parts = []; } for(var i = 0; i < vids.length; i++){ playQueue.push({ 'video': pl[vids[i]-1], 'start': 0, 'stop': dur }) } if(playQueue){ playQueueUpdate(); vp.playVideo(); parsed = true; } } if(parts.length>1){ for(var i = 0; i < parts.length; i++){ var sel = findMatchingVideo(vp, parts[i]); if(sel){ playQueue.push({ 'video': sel, 'start': 0, 'stop': null }) } } if(playQueue){ playQueueUpdate(); 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Self-regulatory organization

A self-regulatory organization (SRO) is an organization that exercises some degree of regulatory authority over an industry or profession. The regulatory authority could be applied in addition to some form of government regulation, or it could fill the vacuum of an absence of government oversight and regulation. The ability of an SRO to exercise regulatory authority does not necessarily derive from a grant of authority from the government.

In United States securities law, a self-regulatory organization is a defined term. The principal federal regulatory authority—the Securities and Exchange Commission (SEC)—was established by the Federal Securities Exchange Act of 1934. The SEC originally delegated authority to the National Association of Securities Dealers (NASD) and to the national stock exchanges (e.g., the NYSE) to enforce certain industry standards and requirements related to securities trading and brokerage. On July 26, 2007 the SEC approved a merger of the enforcement arms of the NYSE and the NASD, to form a new SRO, the Financial Industry Regulatory Authority (FINRA). In addition, Congress created the Municipal Securities Rulemaking Board (MSRB) as an SRO charged with adopting investor protection rules governing broker-dealers and banks that underwrite, trade and sell tax-exempt bonds, 529 college savings plans and other types of municipal securities.

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This page contains text from Wikipedia, the Free Encyclopedia - https://wn.com/Self-regulatory_organization

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• views: 206

What is the framework for the recognition of Self-Regulatory Organizations (SROs) in India's financial markets? This video discusses the key features, criteri...

What is the framework for the recognition of Self-Regulatory Organizations (SROs) in India's financial markets? This video discusses the key features, criteria, and significance of SROs in regulating the financial sector. Learn how these organizations work, their role in maintaining market integrity, and the challenges they face. Crucial for UPSC aspirants and anyone interested in financial market governance. #SROs #FinancialMarkets #SelfRegulation #IndianEconomy #MarketRegulation #UPSC #LegacyIA To know about the Advanced Prelims Marathon (APM) Test Series 2024: https://www.legacyias.com/prelims-test-series/ To know about the Legacy IAS Foundation Course 2024-25 click here: https://www.legacyias.com/upsc-courses/foundation-course/ Take up Daily Static Quiz, click here: https://www.legacyias.com/daily-quiz-static/ Take up Daily Current Affairs Quiz: https://www.legacyias.com/category/daily-quiz-current-affairs/ For Daily Mains Practice Questions Click Here: https://www.legacyias.com/mains-practice-questions/ For the Monthly Current Affairs compilation: https://www.legacyias.com/category/monthly-compilation-current-affairs/ Follow us on various channel- https://linktr.ee/legacyias Instagram: https://www.instagram.com/legacyias/ (We are a family of 80k now. Yay!) Facebook: https://www.facebook.com/legacyias/ Telegram: https://t.me/legacyias -- LEGACY IAS ACADEMY www.legacyias.com Address: 1535, 39th Cross Rd, Kottapalya, 4th T Block East, Jayanagara 9th Block, Jayanagar, Bengaluru, Karnataka 560041 Phone: +91 9606900005; 9606900004 Map: https://maps.app.goo.gl/EThZ9L2nmurSjLqi6 #DailyCurrentAffairs #UPSCCurrentAffairs #upscexam #TargetPrelims2024 #Prelims2024 #UPSCprelims2024 #upscprelims2023 #targetprelims2024 #Prelims2024 #upscaspirant #library #upsccoaching #iasexam #upscprelims #currentaffairs #ips #civilservices #upscstudymaterial #LegacyIASAcademy

https://wn.com/Framework_For_Recognition_Of_Self_Regulatory_Organization_In_Financial_Market_|_Upsc_Current_Affairs

What is the framework for the recognition of Self-Regulatory Organizations (SROs) in India's financial markets? This video discusses the key features, criteria, and significance of SROs in regulating the financial sector. Learn how these organizations work, their role in maintaining market integrity, and the challenges they face. Crucial for UPSC aspirants and anyone interested in financial market governance. #SROs #FinancialMarkets #SelfRegulation #IndianEconomy #MarketRegulation #UPSC #LegacyIA To know about the Advanced Prelims Marathon (APM) Test Series 2024: https://www.legacyias.com/prelims-test-series/ To know about the Legacy IAS Foundation Course 2024-25 click here: https://www.legacyias.com/upsc-courses/foundation-course/ Take up Daily Static Quiz, click here: https://www.legacyias.com/daily-quiz-static/ Take up Daily Current Affairs Quiz: https://www.legacyias.com/category/daily-quiz-current-affairs/ For Daily Mains Practice Questions Click Here: https://www.legacyias.com/mains-practice-questions/ For the Monthly Current Affairs compilation: https://www.legacyias.com/category/monthly-compilation-current-affairs/ Follow us on various channel- https://linktr.ee/legacyias Instagram: https://www.instagram.com/legacyias/ (We are a family of 80k now. Yay!) Facebook: https://www.facebook.com/legacyias/ Telegram: https://t.me/legacyias -- LEGACY IAS ACADEMY www.legacyias.com Address: 1535, 39th Cross Rd, Kottapalya, 4th T Block East, Jayanagara 9th Block, Jayanagar, Bengaluru, Karnataka 560041 Phone: +91 9606900005; 9606900004 Map: https://maps.app.goo.gl/EThZ9L2nmurSjLqi6 #DailyCurrentAffairs #UPSCCurrentAffairs #upscexam #TargetPrelims2024 #Prelims2024 #UPSCprelims2024 #upscprelims2023 #targetprelims2024 #Prelims2024 #upscaspirant #library #upsccoaching #iasexam #upscprelims #currentaffairs #ips #civilservices #upscstudymaterial #LegacyIASAcademy

• published: 23 Aug 2024
• views: 206

4:39

Why is the RBI insisting on self-regulatory organisations?

• Order: Reorder
• Duration: 4:39
• Uploaded Date: 18 Jan 2024
• views: 35205

On Monday, the RBI released the draft framework for SROs in the fintech space. Why is it insisting on SROs? Raghu Mohan finds the answer Hello viewers! Guess w...

On Monday, the RBI released the draft framework for SROs in the fintech space. Why is it insisting on SROs? Raghu Mohan finds the answer Hello viewers! Guess what? We're now on WhatsApp Channels! Dive into real-time news updates, insights, and much more. Follow us: https://whatsapp.com/channel/0029Va6cbsSDuMRmPCIgXS2t Download the all-new Business Standard app: https://bit.ly/App-BS Join us: http://www.facebook.com/bsindia http://twitter.com/bsindia https://www.instagram.com/business.standard

https://wn.com/Why_Is_The_Rbi_Insisting_On_Self_Regulatory_Organisations

On Monday, the RBI released the draft framework for SROs in the fintech space. Why is it insisting on SROs? Raghu Mohan finds the answer Hello viewers! Guess what? We're now on WhatsApp Channels! Dive into real-time news updates, insights, and much more. Follow us: https://whatsapp.com/channel/0029Va6cbsSDuMRmPCIgXS2t Download the all-new Business Standard app: https://bit.ly/App-BS Join us: http://www.facebook.com/bsindia http://twitter.com/bsindia https://www.instagram.com/business.standard

• published: 18 Jan 2024
• views: 35205

3:39

Self Regulatory Organizations (1/2)

• Order: Reorder
• Duration: 3:39
• Uploaded Date: 19 May 2011
• views: 891

Malecki Law http://www.aboutsecuritieslaw.com/ How to effectively represent clients during examinations, interviews, hearings and appeals.

Malecki Law http://www.aboutsecuritieslaw.com/ How to effectively represent clients during examinations, interviews, hearings and appeals.

https://wn.com/Self_Regulatory_Organizations_(1_2)

Malecki Law http://www.aboutsecuritieslaw.com/ How to effectively represent clients during examinations, interviews, hearings and appeals.

• published: 19 May 2011
• views: 891

9:41

SRO | FINRA | Self-regulatory organization

• Order: Reorder
• Duration: 9:41
• Uploaded Date: 11 Dec 2023
• views: 281

Video explains SRO, FINRA, CBOT, MSRB #sro #finra #cbot #msrb #nyse #finance #stocktrading #edicational #financialeducation #learnmoney

Video explains SRO, FINRA, CBOT, MSRB #sro #finra #cbot #msrb #nyse #finance #stocktrading #edicational #financialeducation #learnmoney

https://wn.com/Sro_|_Finra_|_Self_Regulatory_Organization

Video explains SRO, FINRA, CBOT, MSRB #sro #finra #cbot #msrb #nyse #finance #stocktrading #edicational #financialeducation #learnmoney

• published: 11 Dec 2023
• views: 281

7:21

|Stocknow.id| Mengenal Self-Regulatory Organizations

• Order: Reorder
• Duration: 7:21
• Uploaded Date: 04 Oct 2023
• views: 623

Organisasi pengaturan mandiri (SRO) adalah entitas seperti organisasi non-pemerintah , yang memiliki kekuatan untuk membuat dan menegakkan peraturan dan standar...

Organisasi pengaturan mandiri (SRO) adalah entitas seperti organisasi non-pemerintah , yang memiliki kekuatan untuk membuat dan menegakkan peraturan dan standar industri dan profesional yang berdiri sendiri. Untuk Lebih Lanjutnya, Simak Video Kami. Jangan lupa Like, Comment, Subscribe, Dan jangan lupa Share video kami, agar bermanfaat. Jika ingin join grup, dan belajar saham (GRATIS) bisa langsung hubungi +62 851-7505-7535 (Admin Stocknow.id) Jangan lupa untuk follow instagram kami untuk update perkembangan seputar pasar modal https://instagram.com/stocknow.id?igshid=MzRlODBiNWFlZA== Dan kunjungi sosial media kami lainnya Tiktok : https://www.tiktok.com/@stocknow.id?_t=8d3PPm0V8Cn&_r=1 Website : https://stocknow.id/ #Investasi #belajar #Edukasi #Pasarmodal#Stocknowid #Bisnis #capitalgain #capitalloss #likuiditas #belajarsaham

https://wn.com/|Stocknow.Id|_Mengenal_Self_Regulatory_Organizations

Organisasi pengaturan mandiri (SRO) adalah entitas seperti organisasi non-pemerintah , yang memiliki kekuatan untuk membuat dan menegakkan peraturan dan standar industri dan profesional yang berdiri sendiri. Untuk Lebih Lanjutnya, Simak Video Kami. Jangan lupa Like, Comment, Subscribe, Dan jangan lupa Share video kami, agar bermanfaat. Jika ingin join grup, dan belajar saham (GRATIS) bisa langsung hubungi +62 851-7505-7535 (Admin Stocknow.id) Jangan lupa untuk follow instagram kami untuk update perkembangan seputar pasar modal https://instagram.com/stocknow.id?igshid=MzRlODBiNWFlZA== Dan kunjungi sosial media kami lainnya Tiktok : https://www.tiktok.com/@stocknow.id?_t=8d3PPm0V8Cn&_r=1 Website : https://stocknow.id/ #Investasi #belajar #Edukasi #Pasarmodal#Stocknowid #Bisnis #capitalgain #capitalloss #likuiditas #belajarsaham

• published: 04 Oct 2023
• views: 623

2:26

RBI Issues Framework For Self Regulatory Body For Fintech COs; Invites Applications | ET Now

• Order: Reorder
• Duration: 2:26
• Uploaded Date: 30 May 2024
• views: 349

RBI Issues Framework For SRO-FT. RBI's Guidelines For Fintech SROs. #rbi #rbiguidelines #fintechs #rbifintech #etnow #englishnews #trending #topnews #stockmar...

RBI Issues Framework For SRO-FT. RBI's Guidelines For Fintech SROs. #rbi #rbiguidelines #fintechs #rbifintech #etnow #englishnews #trending #topnews #stockmarket #businessnews #sharemarketnews Subscribe To ET Now For Latest Updates On Stocks, share market, business News, Trading, Crypto Updates | https://bit.ly/SubscribeToETNow To Stay Updated Download the Times Now App :- Android Google Play : https://goo.gl/zJhWjC Apple App Store : https://goo.gl/d7QBQZ Social Media Links :- Twitter - http://goo.gl/hA0vDt Facebook - http://goo.gl/5Lr4mC G+ - http://goo.gl/hYxrmj Website - www.etnownews.com Subscribe Now To Our Network Channels:- Times Now: https://bit.ly/SubscribeToTimesNow Mirror Now: https://bit.ly/SubscribeToMirrorNow

https://wn.com/Rbi_Issues_Framework_For_Self_Regulatory_Body_For_Fintech_Cos_Invites_Applications_|_Et_Now

RBI Issues Framework For SRO-FT. RBI's Guidelines For Fintech SROs. #rbi #rbiguidelines #fintechs #rbifintech #etnow #englishnews #trending #topnews #stockmarket #businessnews #sharemarketnews Subscribe To ET Now For Latest Updates On Stocks, share market, business News, Trading, Crypto Updates | https://bit.ly/SubscribeToETNow To Stay Updated Download the Times Now App :- Android Google Play : https://goo.gl/zJhWjC Apple App Store : https://goo.gl/d7QBQZ Social Media Links :- Twitter - http://goo.gl/hA0vDt Facebook - http://goo.gl/5Lr4mC G+ - http://goo.gl/hYxrmj Website - www.etnownews.com Subscribe Now To Our Network Channels:- Times Now: https://bit.ly/SubscribeToTimesNow Mirror Now: https://bit.ly/SubscribeToMirrorNow

• published: 30 May 2024
• views: 349

34:35

Fireside Chat with Hester M. Peirce at the Regulated Investment Crowdfunding Summit 2024

• Order: Reorder
• Duration: 34:35
• Uploaded Date: 29 Oct 2024
• views: 21

Hester M. Peirce was appointed by President Donald J. Trump to the U.S. Securities and Exchange Commission and was sworn in on January 11, 2018. In this "firesi...

Hester M. Peirce was appointed by President Donald J. Trump to the U.S. Securities and Exchange Commission and was sworn in on January 11, 2018. In this "fireside chat" she speaks with CfPA President, Brian P. Christie at the 2024 Crowdfunding Professional Association (CfPA) Regulated Investment Crowdfunding Summit about crowdfunding, crypto, FINRA, and the state of capital markets formation. CfPA was honored to have Commissioner Peirce participating in the 2024 CfPA was also grateful to the Sponsors that made the Summit possible including ClearingBid, Inc. DealMaker, Digital Niche Agency (DNA), the Go Fund Yourself Show, Angel Funding, Revalue LLC Manatt, Phelps & Phillips, LLP, Artesian CPA, Crowdfund Holdings Innovators (CHI), Sosnow & Associates PLLC, Raise Green, SmallChange.co, The Super Crowd, Inc. and FINTECH.TV #crowdfunding #CfPASummit #firesidechat #investing #investmentopportunities #capital #marketing #cryptocurrency #crypto #innovation

https://wn.com/Fireside_Chat_With_Hester_M._Peirce_At_The_Regulated_Investment_Crowdfunding_Summit_2024

Hester M. Peirce was appointed by President Donald J. Trump to the U.S. Securities and Exchange Commission and was sworn in on January 11, 2018. In this "fireside chat" she speaks with CfPA President, Brian P. Christie at the 2024 Crowdfunding Professional Association (CfPA) Regulated Investment Crowdfunding Summit about crowdfunding, crypto, FINRA, and the state of capital markets formation. CfPA was honored to have Commissioner Peirce participating in the 2024 CfPA was also grateful to the Sponsors that made the Summit possible including ClearingBid, Inc. DealMaker, Digital Niche Agency (DNA), the Go Fund Yourself Show, Angel Funding, Revalue LLC Manatt, Phelps & Phillips, LLP, Artesian CPA, Crowdfund Holdings Innovators (CHI), Sosnow & Associates PLLC, Raise Green, SmallChange.co, The Super Crowd, Inc. and FINTECH.TV #crowdfunding #CfPASummit #firesidechat #investing #investmentopportunities #capital #marketing #cryptocurrency #crypto #innovation

• published: 29 Oct 2024
• views: 21

5:40

Crypto, blockchain look to establish self-regulatory organization

• Order: Reorder
• Duration: 5:40
• Uploaded Date: 10 May 2018
• views: 2154

FBN’s Charlie Gasparino discusses how the cryptocurrency and blockchain industries are trying to establish a self-regulatory organization to become more legitim...

FBN’s Charlie Gasparino discusses how the cryptocurrency and blockchain industries are trying to establish a self-regulatory organization to become more legitimate.

https://wn.com/Crypto,_Blockchain_Look_To_Establish_Self_Regulatory_Organization

FBN’s Charlie Gasparino discusses how the cryptocurrency and blockchain industries are trying to establish a self-regulatory organization to become more legitimate.

• published: 10 May 2018
• views: 2154

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2:03

Self-Regulatory Organization

What is a Self-Regulatory Organization? https://thebusinessprofessor.com/en_US/us-legal-s...

published: 09 Nov 2023

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Self-Regulatory Organization

Self-Regulatory Organization

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• published: 09 Nov 2023
• views: 334

What is a Self-Regulatory Organization? https://thebusinessprofessor.com/en_US/us-legal-system/self-regulatory-organization-definition

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1:23

Wall Street Words word of the day = Self-Regulatory Organization (SRO)

Hello YouTube, Todd Ault here, and Welcome to Wall Street Words! Today's Wall Street term ...

published: 16 Sep 2020

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Wall Street Words word of the day = Self-Regulatory Organization (SRO)

Wall Street Words word of the day = Self-Regulatory Organization (SRO)

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• published: 16 Sep 2020
• views: 3129

Hello YouTube, Todd Ault here, and Welcome to Wall Street Words! Today's Wall Street term is "Self-Regulatory Organization (SRO)" These are non-governmental agencies set up by the Securities and Exchange Commission to regulate professional organizations like groups of stockbrokers, broker dealers and members of the New York Stock Exchange, etc. One example of this is FINRA, they oversee the broker dealer community. And then there's the Securities Exchange Commission's oversight of the New York Stock Exchange. Believe it or not, under the Buttonwood Tree, people got together and agreed to trade stocks and they became a self-regulatory organization overseen by the SEC but their members and all the professionalism and all the rules are set up under their own organization. The SEC. just oversees them to make sure the rules are in place, but they are independent organizations separate from the government. Hey, if you want to become a stockbroker, you have to join a broker dealer that's a member of FINRA or the self-regulatory organization, SRO. You take a test that's guided by them and you pass under their rules and you meet their guidelines, you can become a broker too. Self-Regulatory Organization. Definition - An entity such as a non-governmental organization (NGO), which has the power to create and enforce stand-alone industry and professional regulations and standards on its own. In the case of financial SROs, such as a stock exchange, the priority is to protect investors by establishing rules, regulations, and set standards of procedures which promote ethics, equality, and professionalism. Although SROs are private organizations, they are still subject to government-imposed regulation to a degree. However, the government does delegate some aspects of the industry oversight to self-regulatory organizations. Since the SRO has some regulatory influence over an industry or profession, it can often serve as a watchdog to guard against fraud or unprofessional practices. The ability of an SRO to exercise regulatory authority does not stem from a grant of power from the government. Instead, SROs often accomplish control through internal mechanisms that regulate the flow of business operations. The authority may also come from an external agreement between like businesses. The purpose of these organizations is to govern from within while avoiding ties to a country's governance. In today's world, knowledge is powerful and I'm here to share my 30+ years of Wall Street experience with you. Wall Street can definitely be intimidating for a lot of people, so I'm super excited to announce our launching of "Wall Street Words." Whether you are an entrepreneur just starting your Business, or are a seasoned Business owner, like myself, Wall Street Words with Todd Ault will be surely become your new favorite channel. I've had a lot of personal success when investing or trading stock and I want to share these Wall Street terms to help educate you, the viewer when it comes to the NYSE aka the New York Stock Exchange. My goal is to provide you with new information and real world examples of trading and market terms, phrases, forms needed by the SEC, so you can have the ability to make a more educated choice before you hit "The Street." If this is your first time "Welcome to Wall Street." Make sure you click to subscribe and check out our other content. Always Great things happening here. Where to find more of Todd Ault: Facebook: https://facebook.com/MiltonToddAultIII Instagram: https://www.instagram.com/toddault TikTok: https://vm.tiktok.com/ZMJA4cLnE/ Website: http://toddault.com Twitter: https://twitter.com/ToddAultIII SnapChat: https://snapchat.com/add/toddault LinkedIn: https://www.linkedin.com/in/miltontoddault/ Website: https://alzamend.com/ "Ault Global, Inc. and its Wall Street Words content is for informational purposes and is not intended to substitute for the advice of a licensed or certified attorney, accountant, financial advisor, or other certified financial professionals. Ault Global, Inc. and its Wall Street Words does not provide any investment, financial, accounting or other professional advice." #wallstreet #stockmarket #selfregulatoryorganization #SEC

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12:48

Framework for Recognition of Self Regulatory Organization in Financial Market | UPSC Current Affairs

What is the framework for the recognition of Self-Regulatory Organizations (SROs) in India...

published: 23 Aug 2024

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Framework for Recognition of Self Regulatory Organization in Financial Market | UPSC Current Affairs

Framework for Recognition of Self Regulatory Organization in Financial Market | UPSC Current Affairs

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• published: 23 Aug 2024
• views: 206

What is the framework for the recognition of Self-Regulatory Organizations (SROs) in India's financial markets? This video discusses the key features, criteria, and significance of SROs in regulating the financial sector. Learn how these organizations work, their role in maintaining market integrity, and the challenges they face. Crucial for UPSC aspirants and anyone interested in financial market governance. #SROs #FinancialMarkets #SelfRegulation #IndianEconomy #MarketRegulation #UPSC #LegacyIA To know about the Advanced Prelims Marathon (APM) Test Series 2024: https://www.legacyias.com/prelims-test-series/ To know about the Legacy IAS Foundation Course 2024-25 click here: https://www.legacyias.com/upsc-courses/foundation-course/ Take up Daily Static Quiz, click here: https://www.legacyias.com/daily-quiz-static/ Take up Daily Current Affairs Quiz: https://www.legacyias.com/category/daily-quiz-current-affairs/ For Daily Mains Practice Questions Click Here: https://www.legacyias.com/mains-practice-questions/ For the Monthly Current Affairs compilation: https://www.legacyias.com/category/monthly-compilation-current-affairs/ Follow us on various channel- https://linktr.ee/legacyias Instagram: https://www.instagram.com/legacyias/ (We are a family of 80k now. Yay!) Facebook: https://www.facebook.com/legacyias/ Telegram: https://t.me/legacyias -- LEGACY IAS ACADEMY www.legacyias.com Address: 1535, 39th Cross Rd, Kottapalya, 4th T Block East, Jayanagara 9th Block, Jayanagar, Bengaluru, Karnataka 560041 Phone: +91 9606900005; 9606900004 Map: https://maps.app.goo.gl/EThZ9L2nmurSjLqi6 #DailyCurrentAffairs #UPSCCurrentAffairs #upscexam #TargetPrelims2024 #Prelims2024 #UPSCprelims2024 #upscprelims2023 #targetprelims2024 #Prelims2024 #upscaspirant #library #upsccoaching #iasexam #upscprelims #currentaffairs #ips #civilservices #upscstudymaterial #LegacyIASAcademy

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4:39

Why is the RBI insisting on self-regulatory organisations?

On Monday, the RBI released the draft framework for SROs in the fintech space. Why is it i...

published: 18 Jan 2024

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Why is the RBI insisting on self-regulatory organisations?

Why is the RBI insisting on self-regulatory organisations?

• Report rights infringement
• published: 18 Jan 2024
• views: 35205

On Monday, the RBI released the draft framework for SROs in the fintech space. Why is it insisting on SROs? Raghu Mohan finds the answer Hello viewers! Guess what? We're now on WhatsApp Channels! Dive into real-time news updates, insights, and much more. Follow us: https://whatsapp.com/channel/0029Va6cbsSDuMRmPCIgXS2t Download the all-new Business Standard app: https://bit.ly/App-BS Join us: http://www.facebook.com/bsindia http://twitter.com/bsindia https://www.instagram.com/business.standard

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3:39

Self Regulatory Organizations (1/2)

Malecki Law http://www.aboutsecuritieslaw.com/ How to effectively represent clients durin...

published: 19 May 2011

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Self Regulatory Organizations (1/2)

Self Regulatory Organizations (1/2)

• Report rights infringement
• published: 19 May 2011
• views: 891

Malecki Law http://www.aboutsecuritieslaw.com/ How to effectively represent clients during examinations, interviews, hearings and appeals.

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9:41

SRO | FINRA | Self-regulatory organization

Video explains SRO, FINRA, CBOT, MSRB #sro #finra #cbot #msrb #nyse #finance #stocktr...

published: 11 Dec 2023

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SRO | FINRA | Self-regulatory organization

SRO | FINRA | Self-regulatory organization

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• published: 11 Dec 2023
• views: 281

Video explains SRO, FINRA, CBOT, MSRB #sro #finra #cbot #msrb #nyse #finance #stocktrading #edicational #financialeducation #learnmoney

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7:21

|Stocknow.id| Mengenal Self-Regulatory Organizations

Organisasi pengaturan mandiri (SRO) adalah entitas seperti organisasi non-pemerintah , yan...

published: 04 Oct 2023

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|Stocknow.id| Mengenal Self-Regulatory Organizations

|Stocknow.id| Mengenal Self-Regulatory Organizations

• Report rights infringement
• published: 04 Oct 2023
• views: 623

Organisasi pengaturan mandiri (SRO) adalah entitas seperti organisasi non-pemerintah , yang memiliki kekuatan untuk membuat dan menegakkan peraturan dan standar industri dan profesional yang berdiri sendiri. Untuk Lebih Lanjutnya, Simak Video Kami. Jangan lupa Like, Comment, Subscribe, Dan jangan lupa Share video kami, agar bermanfaat. Jika ingin join grup, dan belajar saham (GRATIS) bisa langsung hubungi +62 851-7505-7535 (Admin Stocknow.id) Jangan lupa untuk follow instagram kami untuk update perkembangan seputar pasar modal https://instagram.com/stocknow.id?igshid=MzRlODBiNWFlZA== Dan kunjungi sosial media kami lainnya Tiktok : https://www.tiktok.com/@stocknow.id?_t=8d3PPm0V8Cn&_r=1 Website : https://stocknow.id/ #Investasi #belajar #Edukasi #Pasarmodal#Stocknowid #Bisnis #capitalgain #capitalloss #likuiditas #belajarsaham

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2:26

RBI Issues Framework For Self Regulatory Body For Fintech COs; Invites Applications | ET Now

RBI Issues Framework For SRO-FT. RBI's Guidelines For Fintech SROs. #rbi #rbiguidelines ...

published: 30 May 2024

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RBI Issues Framework For Self Regulatory Body For Fintech COs; Invites Applications | ET Now

RBI Issues Framework For Self Regulatory Body For Fintech COs; Invites Applications | ET Now

• Report rights infringement
• published: 30 May 2024
• views: 349

RBI Issues Framework For SRO-FT. RBI's Guidelines For Fintech SROs. #rbi #rbiguidelines #fintechs #rbifintech #etnow #englishnews #trending #topnews #stockmarket #businessnews #sharemarketnews Subscribe To ET Now For Latest Updates On Stocks, share market, business News, Trading, Crypto Updates | https://bit.ly/SubscribeToETNow To Stay Updated Download the Times Now App :- Android Google Play : https://goo.gl/zJhWjC Apple App Store : https://goo.gl/d7QBQZ Social Media Links :- Twitter - http://goo.gl/hA0vDt Facebook - http://goo.gl/5Lr4mC G+ - http://goo.gl/hYxrmj Website - www.etnownews.com Subscribe Now To Our Network Channels:- Times Now: https://bit.ly/SubscribeToTimesNow Mirror Now: https://bit.ly/SubscribeToMirrorNow

• Show More

34:35

Fireside Chat with Hester M. Peirce at the Regulated Investment Crowdfunding Summit 2024

Hester M. Peirce was appointed by President Donald J. Trump to the U.S. Securities and Exc...

published: 29 Oct 2024

Play in Full Screen

Fireside Chat with Hester M. Peirce at the Regulated Investment Crowdfunding Summit 2024

Fireside Chat with Hester M. Peirce at the Regulated Investment Crowdfunding Summit 2024

• Report rights infringement
• published: 29 Oct 2024
• views: 21

Hester M. Peirce was appointed by President Donald J. Trump to the U.S. Securities and Exchange Commission and was sworn in on January 11, 2018. In this "fireside chat" she speaks with CfPA President, Brian P. Christie at the 2024 Crowdfunding Professional Association (CfPA) Regulated Investment Crowdfunding Summit about crowdfunding, crypto, FINRA, and the state of capital markets formation. CfPA was honored to have Commissioner Peirce participating in the 2024 CfPA was also grateful to the Sponsors that made the Summit possible including ClearingBid, Inc. DealMaker, Digital Niche Agency (DNA), the Go Fund Yourself Show, Angel Funding, Revalue LLC Manatt, Phelps & Phillips, LLP, Artesian CPA, Crowdfund Holdings Innovators (CHI), Sosnow & Associates PLLC, Raise Green, SmallChange.co, The Super Crowd, Inc. and FINTECH.TV #crowdfunding #CfPASummit #firesidechat #investing #investmentopportunities #capital #marketing #cryptocurrency #crypto #innovation

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5:40

Crypto, blockchain look to establish self-regulatory organization

FBN’s Charlie Gasparino discusses how the cryptocurrency and blockchain industries are try...

published: 10 May 2018

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Crypto, blockchain look to establish self-regulatory organization

Crypto, blockchain look to establish self-regulatory organization

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• published: 10 May 2018
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FBN’s Charlie Gasparino discusses how the cryptocurrency and blockchain industries are trying to establish a self-regulatory organization to become more legitimate.

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Self-regulatory organization

A self-regulatory organization (SRO) is an organization that exercises some degree of regulatory authority over an industry or profession. The regulatory authority could be applied in addition to some form of government regulation, or it could fill the vacuum of an absence of government oversight and regulation. The ability of an SRO to exercise regulatory authority does not necessarily derive from a grant of authority from the government.

In United States securities law, a self-regulatory organization is a defined term. The principal federal regulatory authority—the Securities and Exchange Commission (SEC)—was established by the Federal Securities Exchange Act of 1934. The SEC originally delegated authority to the National Association of Securities Dealers (NASD) and to the national stock exchanges (e.g., the NYSE) to enforce certain industry standards and requirements related to securities trading and brokerage. On July 26, 2007 the SEC approved a merger of the enforcement arms of the NYSE and the NASD, to form a new SRO, the Financial Industry Regulatory Authority (FINRA). In addition, Congress created the Municipal Securities Rulemaking Board (MSRB) as an SRO charged with adopting investor protection rules governing broker-dealers and banks that underwrite, trade and sell tax-exempt bonds, 529 college savings plans and other types of municipal securities.

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