Assertion: firm's organization | /r/HasProperty | sro
Facets:
Source sentences:
text: You'll have to become a member of a self-regulatory organization (SRO) if you're approved.
text: In its November 7, 2008 opinion, the SEC reversed FINRA predecessor NASD, explaining that the self-regulatory organization (SRO) had presented a “new theory of liability” that amounted to a novel interpretation of Rule 3040, which requires registered representatives to obtain approval before engaging in business activity away from their firm.