self-regulatory organization
Defined in 3 places of the United States Code.
For purposes of this subsection, the term “self-regulatory organization” includes any self-regulatory organization (as defined in section 78c(a)(26) of this title), any entity established under title I of the Sarbanes-Oxley Act of 2002 [15 U.S.C. 7211 et seq.], any board of trade designated by the Commodity Futures Trading Commission, and any futures association registered with such Commission.
Source
- 2014–present15 U.S.C. § 1681ACommerce and Trade · Definitions; rules of construction · in this section
Self-regulatory organization defined.—For purposes of this subsection, the term "self-regulatory organization" includes any self-regulatory organization (as defined in section 78c(a)(26) of this title), any entity established under title I of the Sarbanes-Oxley Act of 2002 [15 U.S.C. 7211 et seq.], any board of trade designated by the Commodity Futures Trading Commission, and any futures association registered with such Commission.
Source
- 2003–202015 U.S.C. § 1681ACommerce and Trade · Definitions; rules of construction · in this section
The term “self-regulatory organization” means an organization or entity that is not a Federal regulatory agency or a State, but that is under the supervision of a Federal regulatory agency and is authorized under Federal law to adopt and administer rules applicable to its members that are enforced by such organization or entity, by a Federal regulatory agency, or by another self-regulatory organization.
Source
- 2000–present15 U.S.C. § 7006Commerce and Trade · Definitions · for purposes of this subchapter
The term “self-regulatory organization” means any national securities exchange, registered securities association, or registered clearing agency, or (solely for purposes of sections 78s(b), 78s(c), and 78w(b) 1 of this title) the Municipal Securities Rulemaking Board established by section 78o–4 of this title.
Source
- 2014–present15 U.S.C. § 78CCommerce and Trade · Definitions and application · in this chapter
The term “self-regulatory organization” means any national securities exchange, registered securities association, or registered clearing agency, or (solely for purposes of sections 78s(b), 78s(c), and 78w(b) 1 of this title) the Municipal Securities Rulemaking Board established by section 78o–4 of this title.
Source
- 2000–201415 U.S.C. § 78CCommerce and Trade · Definitions and application · in this chapter
The term “self-regulatory organization” means any national securities exchange, registered securities association, or registered clearing agency, or (solely for purposes of sections 78s(b), 78s(c), and 78w(b) of this title) the Municipal Securities Rulemaking Board established by section 78o–4 of this title.
Source
- 1994–200015 U.S.C. § 78CCommerce and Trade · Definitions and application · in this chapter