Online Broker Database
BrokerCheck inoshanda ye FINRA inobvumira vatengesi kuti vaone mararamiro evatengi (mazhinji, asi kwete ose, ayo anonzi mazano vezvemari mazuva ano) uye makambani ekudhinda. Iyo inewo ruzivo rwekare rwekare rwakanyoreswa vatengesi; vazhinji vevanhu ava vangave vachiri kushanda mune zvivimbiso kana masimiro ekutsvaga, uye naizvozvo ruzivo pamusoro pavo rungashandiswa kune varairi. Basa racho rakasununguka, uye kutsvakurudza deta kunogona kuitwa kuburikidza newebsite.
Reports on Brokers
Kune vatengi vakanyoreswa na FINRA mukati memakore gumi apfuura, kusanganisira vatengesi vasati vava kushanda, reBarkerCheck rapo ine:
- Summary data pamusoro pemutengi uye zvaanoreva
- Nhamba yezvinyorwa zvake zvemazuva ano, mabhizimisi uye kuongororwa kwemashamba kupera
- Kubhadhara uye basa remabasa: ose FINRA-makambani ekuchengetedza mabhizimisi ayo akambove akanyoresa uyewo, kwemakore gumi apfuura, mamwe mabasa ose (mukati nekunze kwekambani yemabhizimisi), basa remauto, kusashanda kwemabasa, uye nguva yakazara dzidzo
- Kuratidzirwa pamusoro pemakakatanwa emakambani, zviitiko zvekuraira uye nyaya dzezvemari pane rekwereti yemutengi, kana kuti kwete here mutengesi uyu akawanikwa aine mhosva
- Mashoko omutsva anonyanya kutumirwa, kana aripo
Cherechedza kuti hazvisi zviito zvose uye zvinopomerwa pane rekwereti yemukwereti zvinoratidza kunyangadza.
Kana mutengesi ava kurega kunyoresa na FINRA makore anopfuura gumi akapfuura, mutsauko chete muChiralcCheck yakarondedzerwa inosanganisira chikamu chinosangana nezvakaziviswa.
Inosanganisira mamwe mhaka, hutongi, hurumende yepamutemo, kana kuti maitiro ekupomera kwevatengi kune avo vatengesi. Zviitiko zvakabatanidzwa mumushumo kana mutengesi aiva:
- Inotungamirirwa kune chiito chekupedzisira chekuita
- Akatongerwa (kana akavhara mhosva ane mhosva kana kuti haana kukwikwidza) mamwe mhaka
- Inoiswa pasi pemutemo wehurumende unosanganisira mabasa ane chokuita nekutsvaga
- Inowanikwa nedare redzimhosva kuti rive rinopesana nemitemo inoshandiswa mune zvekutsvaga mari kana mitemo
- Anonzi mumiririri kana mumiririri mukugadzirisa kwekutonga kana sarudzo yehurumende achitaura kuti iye akaputsa kutengesa maitiro, uye iyo yakabudisa mubairo kana kutongwa kwevanhu
FINRA inonyora chiitiko chega chega sezvinotaurwa nezvisungo zvekuchengetedza, mutengesi mumwe nomumwe, uye chero chipi zvacho chakabatanidza firms.
Nhoroondo dze Brokerage Firms
Iyo inonzi BrokerCheck inoratidzira pamusoro pekambani inoshambadzirana inosanganisira:
- Mhedziso yekambani uye mamiriro acho ezvinhu
- Nguva uye kupi iyo zvakasimbiswa
- Vanhu uye masangano ane zvigaro zvekutonga kana kuti simba pamusoro pemabasa ekusimba
- Nhoroondo yekubatana, kuwanikwa kana zita rinoshanduka
- Mvumo yekushanda uye yakanyora iyo yakasimba, maitiro emabhizimisi ayo anoita uye mamwe mashoko ane chokuita nekuita kwayo
- Kuratidzirwa pamusoro pekupikidzwa kwemakambani, zviitiko zvekuraira, uye nyaya dzezvemari pane rekodhi rekodhi
Cherechedza kuti zviito zvakamirira kana kusagadziriswa zvinogona kuiswa, uye kuvapo kwezviito zvakadaro hazvirevi kuti zvinokanganisa.
Mashoko Ezvinhu
Mashoko aya muBrkerCheck anobva kuCentral Registration Depository (CRD), iyo inobatanidza kubhadhara uye kubvumirwa zvinyorwa zvinoshandiswa nekambani dzebhizimisi nevatengi.
Vatongi vanopawo ruzivo kuRDD pamusoro pezvimwe zviito zvekuranga zvinosanganisira vatengesi nevashandisi vemari.
Mari Yedzivo
Vanyoresa mabhendi uye makambani ekutengeserana kazhinji vanofanira kutumira zvinyorwa zveRDD mumazuva makumi matatu mushure mokunge iye / iye / anodzidza nezvechiitiko. BrokerCheck inoratidza ruzivo rweRDD rutsva kana rwakavandudzwa pakarepo. Mashoko anowanzosarudzwa haasi kuongororwa kumakambani asina kubhadharwa ne FINRA, kana kuti nevatengi vasina kubhadharwa ne FINRA.
Chii BrokerCheck Haingaiti
Mienzaniso ndeiyi:
- Kutonga uye zvibvumirano pakutanga zvakarondedzerwa sekumirira kuti gare gare zvakagutsikana
- Bankruptcy proceedings yakaiswa makore anodarika gumi apfuura.
- Social Security Numbers
- Reidential history information
- Tsanangudzo yepanyama mashoko
Nenzira yakawanda, BrokerCheck haina kusanganisira chero dunhu risina kumbopinda muRDD, uye harinawo ruzivo rwakamboita, asi haruwani.
FINRA inoda kuchengetedza zvakavanzika zvevamusiki ruzivo, kusabvisa mutauro unonyadzisa kana kusvibisa, uye kudzivisa ruzivo runokurudzira kubatwa kwekuzivikanwa kwepamusoro kana zvinetso zvevamwe.
Kuzivisa Zvitsva Zvitsva
Muna 2012, FINRA yave ichifunga nezvekuwedzera kuziviswa mu BrokerCheck, dzakadai se:
- Zvikonzero zve uye zvinyorwa zvine chokuita nekutengesa kwevatengesi
- Dzidzo yemamiriro
- Mamwe mazita ekuremekedza, akadai seCFA kana CFP
- Mamwe tsanangudzo pamusoro pekutsinhanisa kwevatengesi kune vatengesi
Zvichakadai, inoshevedza kubva kune vatsigiri vezvemari kuti vaise zvikamu zvakawanikwa pamisheni yakadai seChitsauko 7 chiri kushorwa na FINRA, uye haisi kunyanya kufarirwa pakati pevatengesi. Nyanzvi dzinotsanangurwa muThe Wall Street Journal ("Kuchengetedza Chikwata: Vashandi Vanoparidzira Vanoshandira Kuwedzera Kukurukurirana, Kuwedzera MaBhuku Pamayero," May 29, 2012) mubvunzo mubvunzo wekubatsira kwekupupurira zvikoro zvekuongorora, sezvo zvinoratidza kuti hazvibatanisi nehutano hwekutsvaga kwekuita kana hutano hwehutano, hurukuro huru yekugutsikana kwekambani .