Video: Yuav ua li cas yog RIA?
2024 Tus sau: Stanley Ellington | [email protected]. Kawg hloov kho: 2023-12-16 00:17
RIAs yuav tsum xeem dhau Series 65 xeem. RIAs yuav tsum sau npe nrog SEC lossis lub xeev cov cai, nyob ntawm cov nyiaj uas lawv tswj hwm. Thov los ua ib tug RIA suav nrog kev ua Daim Ntawv Foos ADV, uas suav nrog cov ntaub ntawv tshaj tawm uas tau muab faib rau txhua tus neeg siv khoom.
Tsis tas li ntawd, nws yuav siv sijhawm ntev npaum li cas los ua RIA?
Lub sijhawm tag nrho nws siv yuav muaj li ntawm 6 mus rau 10 lub lis piam nyob ntawm qhov chaw txiav txim. Feem ntau, SEC yuav tsum teb nrog kev txiav txim siab pom zoo lossis tsis pom zoo rau koj daim ntawv thov RIA hauv 45 hnub. Txawm li cas los xij, xeev kev xav tau yuav txawv.
Tsis tas li ntawd, RIA puas xav tau Series 7? Koj xav tau ib tug Broker Dealer kom koj 7 nquag. Tab sis koj tsis ua xav tau ib tug series 7 ua ib RIA.
Hais txog qhov no, nws raug nqi npaum li cas los pib RIA?
RIA Cov nqi tswj xyuas ruaj khov Txhua lub xeev them tus nqi pib ua ntaub ntawv thiab txhua xyoo. Qhov nruab nrab tus nqi sau npe pib them los ntawm xeev yog ~ $ 215.
RIA ruaj khov yog dab tsi?
Tus kws tshaj lij peev peev sau npe, lossis RIA , yog "tus neeg los yog ruaj uas, rau kev them nyiaj, yog koom nrog hauv kev muab cov lus qhia, ua cov lus pom zoo, tshaj tawm cov ntawv ceeb toom lossis kev txheeb xyuas kev nyab xeeb, ncaj qha lossis tshaj tawm "raws li Txoj Cai Investment Advisers Act of 1940.
Pom zoo:
Yuav ua li cas ntau npaum li cas koj yuav tsum tau kaw cov pob zeb countertops?
Koj yuav xav rov ua dua txhua ib mus rau peb xyoos. 'Tsis txhob siv cov tshuaj txhuam hniav thiab cov tshuaj txhuam hniav uas tuaj yeem ua rau lub sealer puas,' Havenly's Head of Design, Shelby Girard, qhia CountryLiving.com. ' Txhawm rau tiv thaiv stains, siv cov laug cam, thiab ntxuav cov messes sai sai. Ciab countertops txhua hli ib zaug kaw kom tiv thaiv kom txhob lo av. '
Yuav ua li cas loj npaum li cas septic teb yuav tsum tau?
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Kuv yuav sau npe ua RIA li cas?
KEV SIB THAM THIAB QHOV CHAW Xaiv koj lub chaw lag luam thiab chaw nyob. Sau npe ua lag luam nrog tus tuav ntaub ntawv hauv xeev. Tau txais tsoomfwv tus lej se ID rau kev lag luam. Ua kom tiav FINRA's Series 65 kev xeem. Sau npe koj RIA nrog Tus Kws Pab Tswv Yim Kev Lag LuamRegistration Depository (IARD) thiab tau txais CRDnumber
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