Member rules
Rules an SRO or exchange sets for its members, enforceable through discipline and expulsion.
Overview
SRO member rules cover conduct, capital, supervision, reporting and dealing with customers. Members agree to be bound by them as a condition of membership.
It connects most directly to Self-regulatory organisation, Financial Industry Regulatory Authority and Canadian Investment Regulatory Organization.
Check the official sources below for legal scope, applicable dates and exceptions. This entry is an explanatory reference, not legal advice.
Why it matters
For SRO members, these rules are as binding as regulation.
Who it affects
Broker-dealers, investment dealers and exchange members.
Connections
The terms most closely tied to Member rules. Select one to open it.
What to do about it
- 1Note which authorities hold this power over you.
- 2Weight the obligations behind it by the consequence it carries.
- 3Prepare evidence before you are asked for it.
From requirement to evidence.
SRO rulebooks are tracked as obligations with their own change feed.
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