“”Subjects of SRO Investigations” refers to individuals or companies that a self-regulatory organization (an “SRO”) thinks may or may not have committed a violation of the SRO’s rules or a violation of an area of law that the SRO has jurisdiction over, but the SRO cannot be certain without more information.

Generally speaking, an SRO is a private organization that has the power to create and enforce standards and regulations for a particular industry. An SRO is not a government agency. For example, the Financial Industry Regulatory Authority (“FINRA”) and the New York Stock Exchange (“NYSE”) are two well known SROs.

Over the course of an SRO investigation, someone who the SRO initially believes may be just a witness may come to be viewed as a “subject”. Likewise, someone who the SRO initially believes may be a potential “subject” may come to be viewed as just an innocent witness.

If you would like information about The Pickholz Law Offices’ experience representing Subjects of SRO Investigations, please feel free to click on the “Sample Matters” link and the other links on the right side of this page.

 

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Subjects of SRO Investigations | Subject of SRO Investigation