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Get to know Self-Regulatory Organization for Independent Investment Advisers, Inc.

The "Self-Regulatory Organization for Independent Investment Advisers, Inc." (SROIIA) was a conceptual entity that emerged from discussions following the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act. The Act mandated the SEC to study ways to enhance the examination and oversight of investment advisers. One proposed solution was the creation of a new self-regulatory organization (SRO), similar to how FINRA oversees broker-dealers. Various industry groups and potential SRO operators, including FINRA, put forth models and proposals. However, after extensive debate and study, the SEC did not proceed with authorizing a new SRO for investment advisers, and the concept for this specific organization never came to fruition.

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Self-Regulatory Organization for Independent Investment Advisers, Inc.

Name: Self-Regulatory Organization for Independent Investment Advisers, Inc.
Address: US

United States

Founded in

2011 (15 Years)

Founded

Last online: No recent activity

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Regulated

Recommended

(74 reviews)

Cyprus

2009

(17 years)

Security Information :

CySEC

FSCA

DFSA

Security Information

Warning

This company is currently Unproved.

Please be cautious of the potential risks!

License

A Grade License

Issued by globally renowned regulators, these licenses ensure the highest trader protection through strict compliance, fund segregation, insurance, and regular audits. Dispute resolution and adherence to AML/CTF standards further enhance security.

B Grade License

Granted by respected regional regulators, these licenses offer robust safety measures such as fund segregation, financial reporting, and compensation schemes. Though slightly less strict than Tier 1, they provide dependable regional protection.

C Grade License

Issued by regulators in emerging markets, these licenses offer basic protections such as minimum capital requirements and AML policies. Oversight is less stringent, so traders should exercise caution and verify safety measures.

D Grade License

From jurisdictions with minimal oversight, these licenses often lack key protections like fund segregation and insurance. While attractive for operational flexibility, they pose higher risks to traders.

TrustFinance is not a licensed financial advisor and is not affiliated with any financial institutions in your region. We encourage you to do your own research before making any investment decisions.