What do SROs do to protect the public?

SROs have two major responsibilities: to oversee the markets and to oversee the brokers and investment dealers who operate in the respective markets.

They do that in a variety of ways. First of all, they create standards that participants must meet prior to employment. They also create rules governing how the markets must operate and extensively investigate suspected infractions. And, they audit brokerage firms and dealers on a regular basis to ensure firms are solvent and following all the rules.

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