
rajisterdu nikshepa upadeshtaavu

securities aandu exchange kammeeshan (second) allengil oru samsthaanathinte securities ejansiyil rajisttar cheythittulla yunaittad stetsile oru nikshepa upadeshtaavaaya sthaapanamaanu rajisterdu investment advisor (ira). 1940 leeii nikshepa upadeshtaakkalude niyamathile reasinekkurichulla niravadhi paraamarshangal "nikshepa upadeshtaavu" enna padavumaayi adutha bandhamullah eee padatthe janapriyamakki. securitykalekkurichu upadesham nalkunna oru vyakthiyo sthaapanamo ennaanu securitykalum exchange commission oru nikshepa upadeshtaavine nirvachichirikkunnathu. ennirunnaalum, oru riyayaan yadhaartha sthaapanam, athesamayam sthaapanathile jeevanakkaare nikshepa upadeshtaavu prathinidhikal (aii. eiii. aarr. ezz) ennu vilikkunnu.
rajisterdu investment advisor sthaapanangalkku saambathika upadeshavum nikshepa maanejmentum nalkunnathinu phees roopathil nashtapariharam labikkum. avar oru vishwasi aayi pravarthikkendathundu. oru commission shupaarshakal nalkunna broker-dealermaaril ninnum avarude prathinidhikalil ninnum ithu valare vyathyasthamaan. broker-dealermar avarude prathinidhikalum oru vishwaasa sthaapanamaayi pravarthikkendathilla, avar oru klayantinu anuyojyamaaya shupaarshakal nalkanam. ithu mattoru paricharana nilavaaramaan, ennaal eee professionalukalil aarenkilum svayam oru saambathika upadeshtaavu ennu vilikkumennathinaal mikka upabhokthaakkalum vyathyaasathekkurich ariyilla.
chila sandarbhangalil oru sthaapanam "eratta rajisterdu" aayirikkam, athaayath avar oru broker-dealerayi rajisttar cheyyappedunnathinoppam rajisterdu investment advaisarumaanu. anganeyaanengil avar oru phees nalkukayum chila uthppanna vilppanayil oru kammeeshan shekharikkukayum cheythekkaam.
staanderd.
fiduciary staanderd.
1940leeii yuu. ezz. investment advisor aaktil paranjirikkunna oru fiduciary staanderd oof cair oru aii. eiii. eiii paalikkanam. oru nikshepa upadeshtaavine bodhapoorvamo abodhapoorvamo aayi-aii. eiii. eyude klayantukalude mikacha thaalpparyathinu nirakkaatha upadesham nalkunnathinu prerippikkunna ellah thaalpparya samghattanangalum illaathaakkukayo allengil kuranjathu thurannukaattukayo cheyyuka enna uddeshyathode oru klayantinte mikacha thalpparyangal niravettukayum sevikkukayum cheyyendathaanu eee maanadandam.
upadeshtaakkalum avarude udyogastharum vishwaasaparamaaya maanadandangal paalikkunnath prolsaahippikkunnathi", 2004 august 31 nuu, 1940 leeii nikshepa upadeshtaakkalude niyamathinu keezhilulla ruul 204 eiii-1 amgeekaricha sec, nikshepa upadeshtaakkal "upadeshaka udyogastharil ninnu prathekshikkunna perumatta maanadandangal" nischayikkunna dhaarmika niyamangal sweekarikkanamennum upadeshaka udyogastharude vyakthigatha vyaapaarathil ninnu undaakunna samgharshangal pariharikkanamennum aavashyappedunnu. mattu karyangalkkoppam, upadeshakarude melnottatthilulla vyakthikal avarude vyakthigatha securities edapaadukal report cheyyanamennu niyamam aavashyappedunnu."
niyamam 204eiii-1 ellah securitykaleyum anchu ozhivaakkalukalode report cheyyaavunna securitykalaayi kanakkakkunnu (athaayath.iii.us gavanmentinte nerittulla baadyathakal, chila munny maarkkat upakaranangal, chila munny maarkkat fandukal, chila myoochwal fandukal, chila yoonit investment trasttukal). niyamam "axus vyakthi report cheiyunna anuchithamaya vyaapaarathin cheria avasaram nalkunna securitykal ozhivaakkunnathinaan roopakalppana cheythirikkunnathu". ennirunnaalum, exchange-traded fandukalile edapaadukal deseeya compliance sevanangal, incorporated limittad enna sthaapanathodulla oru second prathikaranam anusarichu report cheyyaavunna securitykalaanu.'2005leeii 'noow aakshan guidense' enna abhyarthana.
niyamathinu upadeshakan oru prathyeka maanadandam sweekarikkenda aavashyamillengilum, thiranjeduttha maanadandam upadeshakante vishwaasaparamaaya baadhyathakalum athinte melnottatthilulla vyakthikalude baadhyathakalum prathifalippikkukayum federal securities niyamangal palikkukayum venam."niyamathil chila minimum vyavasthakal adangiyirikkunnuvenkum, upadeshtaakkalkku avarude upadeshaka bisinasukalude ghadana, valuppam, swabhaavam ennivaykku ettavum anuyojyamaaya vyakthigatha kodukal roopakalppana cheyyaan ganyamaaya vazhakkam undu."mikka samsthaana niyanthranangalum samanamaaya dhaarmika aavashyakathakalum melnotta nadapadikramangalum sthaapikkaan upadeshtaakkale aavashyappedukayo shupaarsha cheiyukayo cheiyunnu.
nikshepa upadeshtaavu fiduciary staanderd vezhsas. broker-dealer anuyojyatha.
chillara nikshepakarkku nikshepa shupaarshakal nalkunnathinu saambathika vyavasaayavum niyamanirmmaathaakkalum ithuvare sthiramaaya maanadandam sthaapichittilla.
1940leeii nikshepa upadeshtaakkalude niyamathile 202 (eiii) (11) (sii) vakupp oru nikshepa upadeshtaavinte (athinaal anubandha fiduciary staanderd) nirvachanathil ninnu ozhivaakkunnu, "atharam sevanangalude prakadanam oru broker allengil dealer enna nilayil thante bisinesses nadathunnathinu mathramullathum athinaayi prathyeka nashtapariharam labhikkathathumaaya eathenkilum broker allengil dealer."
brokermarudeyum dealermarudeyum mail adikaaramulla us securities selph regulatory oorganaiseshanaaya (sro) financial industry regulatory authority (finra), broker-dealermaare (bidi) "nikshepa upadeshtaakkalaayi kanakkaakkaruthenn" nirnnayichu, athinaal rajisttar cheytha nikshepa upadeshtaakkaleppole klayantukalkku nikshepam shupaarsha cheyyumbol athe vishvaasayogyamaaya maanadandangalkku vidheyamalla.
athinaal oru broker dealerumaayi affiliate cheythittulla rajisterdu prathinidhikal (rrs) sthaapanethara klayantukalkku "anuyojyamaanennu" karuthunna securitykal shupaarsha cheyyendathundu. oru klayantinekkurichulla vivarangal labhikkunnathin oru amgam nyayamaaya sramangal nadathanamennu finra "anuyojyatha" maanadandam aavashyappedunnu
nikshepa upadesham nalkunna bisinessil earppedunna oru broker-dealerude aarr. aarr. ezz oru rajisterdu nikshepa upadeshtaavumaayi affiliate cheyyendathundu. nikshepa upadeshaka prathinidhikal (aii. eiii. aarr. ezz) enna nilayil avar upabhokthaakkalkk nikshepa upadesham nalkumbol 1940 leeii us nikshepa upadeshaka niyamam prakaram nirvachichirikkunna "fiduciary staanderd" anusarichaanu nilkkunnath. ithinu, oru security shupaarsha cheiyunna eratta rajisttar cheytha saambathika upadeshtaakkal, avar oru rr aayi anuyojyamaaya security broker cheiyunnundo atho oru ir aayi nikshepa upadesham nalkunnundo ennu avarude klayantukalumaayi vyakthamaayi ashayavinimayam nadathukayum athinaal oru fiduciaryaayi pravartthikkukayum cheyyendathundu. chila "eratta rajisttar cheytha" upadeshtaakkal avarude broker-dealermaarumaayulla affiliation vazhi avarude shupaarshakalude paridhiyil parimithamaanu, athinaal avarude klayantukalkku ellah uthppanna/sevana parihaarangalilekkum thadassamillaatha praveshanam illa. eratta rajisttar cheytha allengil "hibrid" upadeshtaakkalil palarum affiliate cheythirikkunna "captive plaattphom" ennaanu ithu ariyappedunnathu. swatantra riyas" (oru broker dealerumaayi affiliate cheyyaathava (allengil niyanthrikkaathava) maathrame yadhaartha vishwaasikalaayi kanakkakkaan kazhiyoo.
2012ll finra ruul 2111 prakaram anuyojyathayum "ningalude upabhokthaavine ariyuka" (keey. aii. sii) niyamangalum vikasikkum. eee niyamam thanthratthinte shupaarshakalkulla badhyatha phalapradamaayi vipuleekarikkum. varshangalayi, nikshepa upadeshtaakkale upabhokthaavinte anuyojyatha, lakshyangal, samaya chakravaalam, apakadasaadhyatha sahishnutha enniva ariyanum upabhokthaavil ninnulla vivarangalude adisthaanathil oohakkachavadamo aakramanaathmakamo aaya shupaarshakal parimithappedutthaanum padippichittundu. puthiya niyamam 2111 prakaram, oru thanthratthinte bhagamaaya avarude uthppannathinum sevana shupaarshakalkkum brokermar baadhyastharaayirikkaam. nikuthi, viramikkal, nikshepangal, fandukal allengil estettu aasoothranam enniva oru thanthrathil ulppedaam. athinaal, oru rajisterdu upadeshtaavu sii. pii. eiii upadeshamo licensulla abhibhaashakaro nannayi upayogikkaan aagrahichekkaam. "puthiya finra ruul 2111 saadhaaranayaayi muun enn. eiii. ezz. dii ruul 2310 (anuyojyatha) maathrkayilaanu roopakalppana cheythirikkunnathu, koodaathe oru sthaapanathino anubandha vyakthikko" "oru security allengil securitykal ulppedunna shupaarsha cheytha edapaadu allengil nikshepa thanthram upabhokthaavin anuyojyamaanennu vishwasikkaan nyayamaaya adithara undaayirikkanamennu aavashyappedunnu, upabhokthaavinte nikshepa profile nirnnayikkunnathin amgathinteyo anubandha vyakthiyudeyo nyayamaaya uthsaahathiloode labhicha vivarangalude adisthaanathil".
fintayude puthiya "ningalude upabhokthaavine ariyuka" (keey. aii. sii) niyamangalkk keezhilulla kooduthal adisthaanaparamaaya chila mattangal chuvade
ekeekritha vishwaasyatha nilavaaram.
brokermark nikshepa upadeshtaakkalkkum oru ekeekritha fiduciary staanderd prayogikkanamo ennu second patanam nirbandhamaakkanamennu dooad-frank niyamathile sekshan 913 nirddeshichu. 2011 januvariyil puratthirakkiya sekkantinte padanatthinte phalangal, chillara upabhokthaakkalkk vyakthigatha nikshepa upadesham nalkumbol brokermark nikshepa upadeshtaakkalkkum oru ekeekritha vishwaasyatha maanadandam sweekarikkunnathinaayi sekkantinte niyamangal nirmmikkunnath thudaranamennu shupaarsha cheythu.
2013 march 1nuu sekkant puratthirakkiya release nambar. ekeekritha vishvaasayogyamaaya maanadanda niyamangal nirmmikkunnathiloode munnott pookunnathiloode prathekshikkunna saambathika prathyaaghaathangal nirnnayikkunnathin chelavu-aanukoolya vishakalanathinayi vivarangal abhyarthikkaan 34-69013.
rajistreshan.
samsthaana rajisterdu nikshepa upadeshtaakkal.
pothuve, 100 dasalaksham dollaril thaazheyulla riyas maanejment asthikal avarkk avarude pradhana bisinesses sthalamulla samsthaanathe stettu securities ejansiyil rajisttar cheyyanam.
federal rajisterdu nikshepa upadeshtaakkal.
pothuve, klayant aasthikalil 100 dasalaksham dollaro athil kooduthalo kaikaaryam cheiyunna riyas yuu. esil rajisttar cheyyanam.ezz. securitykalum exchange commission (second). oru broker-dealerepole rajistreshan pole eee prakriya ulppedunnillengilum, athu sankeernamaayekkaam.
2019 leeii kanakkanusarichu, 43 dashalakshathiladhikam upabhokthaakkalkk sevanam nalkunna 12,993 sthaapanangal federal rajisttar cheythittundu; 88 sathamaanathil 50 ll thaazhe jeevanakkarulla mikka sthaapanangalum cheruthaanu. upadesham nalkunnathum ennaal vishwaasikalallaathathumaaya fina rajisttar cheytha stokku brokermar 3,596 sthaapanangalilekkum 4,720 vyakthikalilekkum churungi, avaril chilar "wirehouse brokermar" aanu.
rajisttar cheiyunnathinulla aavasyakathakal.
nikshepa upadesham nalkunna chumatalayilulla riyayude prathinidhikale "nikshepa upadeshtaavu prathinidhi" (iar) ennu vilikkunnu. eee kathikal saadhaaranayaayi seerees 65 pareeksha ennariyappedunna ekeekritha nikshepa upadeshtaavu niyamapareeksha (securities pareekshakalude pattika kaanuka) poortthiyaakkanam, allengil inipparayunna onno athiladhikamo pree-yogyathaa padavikal vahichukondu pareeksha elavu aavasyakatha niravettanam; certified financial planner (sii. eph. pii), charted financial kansalttant (sii. eph. sii); pezhsanal financial specialist (pii. eph. ezz), charted financial analyst (sii. eph. eiii), allengil charted investment kaunsilar (sii. aii. sii). ennirunnaalum, eee aavasyakathakal samsthaanangalkkanusarich vyathyaasappettirikkunnu. udaaharanathinu, sekkanti rajisttar cheytha riya sthaapanangalude prathinidhikalkk newyorkkil pareeksha aavasyakathakalonnumilla.
fease niyanthranangalum.
reasukalkku apakadakaramaaya nikshepangal nadatthaan anuvaadamundu, ithu ganyamaaya nashtatthinu kaaranamakum. phees saadhaaranayaayi maanejment aasthikalude (oom) oru sathamaanavum ekadesham oru sathamaanavumaanu. uyarnna aasthiyulla vyakthikalkkulla nikshepa swathukkal polulla "kaivasham vachirikkunna" asthikal ithil ulppedaam.
myoochwal fandukalil ninnu vyathyasthamayi, riyas avarude mothatthilulla prakadanam report cheythekkilla, kaaranam avaa vaividhyamaarnna klayantukaleyum nikshepa lakshyangaleyum prathinidheekarikkunnu. ennirunnaalum, prakadanam polulla daatta avar report cheyyumbol, atharam parasyangal vasthuthaparavum thettidharippikkunnathum.
chila asattu maanejarmaar oru nischitha phees eedaakkunnu, ennaal ekadesham 95 sathamaanam thuka oru shathamaanamaayi eedaakkunnu.

