Yuav ua li cas yog RIA?
Yuav ua li cas yog RIA?

Video: Yuav ua li cas yog RIA?

Video: Yuav ua li cas yog RIA?
Video: Yog Koj Ne... Koj Yuav Ua Li Cas 6/11/2021 2024, Kaum ib hlis
Anonim

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.

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