Self Regulatory Organization definitions set scope for recognition, membership, governance, and compliance obligations in securities markets. Defines key terms for application of the SRO recognition and oversight framework: Self Regulatory Organization, Board, certificate of recognition (and renewals), member, office bearer, agent, distributor, intermediary, issuer, company, economic offence, and governing norms; and provides that words not defined here have meanings assigned in the governing securities statute.
Cases where this provision is explicitly mentioned in the judgment/order text; may not be exhaustive. To view the complete list of cases mentioning this section, Click here.
Provisions expressly mentioned in the judgment/order text.
Self Regulatory Organization definitions set scope for recognition, membership, governance, and compliance obligations in securities markets.
Defines key terms for application of the SRO recognition and oversight framework: Self Regulatory Organization, Board, certificate of recognition (and renewals), member, office bearer, agent, distributor, intermediary, issuer, company, economic offence, and governing norms; and provides that words not defined here have meanings assigned in the governing securities statute.
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