(FINRA) regulates brokerage firms and exchange markets in the financial industry.

Within organizations

Self-regulation is the process whereby an organization is asked, or volunteers, to monitor its own adherence to legal, ethical, or safety standards, rather than have an outside, independent agency such as a governmental entity monitor and enforce those standards. Self-regulation can have an effect on specifying existing guidelines or laws in certain contexts, foremost in the context of specific technical fields such as environmental

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