{"id":580294,"date":"2023-12-28T03:16:45","date_gmt":"2023-12-28T03:16:45","guid":{"rendered":"https:\/\/proxyelite.info\/glossary\/finra-financial-industry-regulatory-authority\/"},"modified":"2023-12-28T03:16:45","modified_gmt":"2023-12-28T03:16:45","slug":"finra-financial-industry-regulatory-authority","status":"publish","type":"glossary","link":"https:\/\/proxyelite.info\/cn\/glossary\/finra-financial-industry-regulatory-authority\/","title":{"rendered":"FINRA\uff08\u91d1\u878d\u4e1a\u76d1\u7ba1\u5c40\uff09"},"content":{"rendered":"<h2>\u7f8e\u56fd\u91d1\u878d\u4e1a\u76d1\u7ba1\u5c40\u7b80\u4ecb<\/h2>\n<p>\u91d1\u878d\u4e1a\u76d1\u7ba1\u5c40\uff08FINRA\uff09\u662f\u4e00\u4e2a\u975e\u653f\u5e9c\u7ec4\u7ec7\uff0c\u8d1f\u8d23\u76d1\u7ba1\u7f8e\u56fd\u7684\u4f1a\u5458\u7ecf\u7eaa\u516c\u53f8\u548c\u4ea4\u6613\u5e02\u573a\u3002\u4f5c\u4e3a\u4e00\u4e2a\u72ec\u7acb\u7684\u81ea\u5f8b\u7ec4\u7ec7\uff0cFINRA \u81f4\u529b\u4e8e\u901a\u8fc7\u5bf9\u7ecf\u7eaa\u4ea4\u6613\u5546\u8fdb\u884c\u6709\u6548\u4e14\u9ad8\u6548\u7684\u76d1\u7ba1\u6765\u4fdd\u62a4\u6295\u8d44\u8005\u548c\u5e02\u573a\u8bda\u4fe1\u3002<\/p>\n<h2>FINRA \u8be6\u7ec6\u6982\u8ff0<\/h2>\n<p>FINRA \u5728\u7f8e\u56fd\u8bc1\u5238\u4ea4\u6613\u59d4\u5458\u4f1a (SEC) \u7684\u76d1\u7ba1\u4e0b\u8fd0\u4f5c\u3002\u5176\u4e3b\u8981\u4f7f\u547d\u662f\u4fdd\u62a4\u6295\u8d44\u516c\u4f17\u514d\u53d7\u6b3a\u8bc8\u548c\u4e0d\u826f\u884c\u4e3a\u7684\u4fb5\u5bb3\u3002 FINRA \u8d1f\u8d23\uff1a<\/p>\n<ul>\n<li><strong>\u7f16\u5199\u548c\u6267\u884c\u89c4\u5219\uff1a<\/strong> \u5236\u5b9a\u89c4\u5219\uff0c\u786e\u4fdd\u7ecf\u7eaa\u4ea4\u6613\u5546\u4e4b\u95f4\u516c\u5e73\u548c\u9053\u5fb7\u7684\u5546\u4e1a\u884c\u4e3a\u3002<\/li>\n<li><strong>\u5ba1\u67e5\u516c\u53f8\uff1a<\/strong> \u5bf9\u516c\u53f8\u8fdb\u884c\u5b9a\u671f\u5ba1\u67e5\uff0c\u4ee5\u786e\u4fdd\u9075\u5b88 FINRA \u89c4\u5219\u548c\u8054\u90a6\u8bc1\u5238\u6cd5\u3002<\/li>\n<li><strong>\u4fc3\u8fdb\u5e02\u573a\u900f\u660e\u5ea6\uff1a<\/strong> \u63d0\u4f9b\u5e2e\u52a9\u6295\u8d44\u8005\u505a\u51fa\u660e\u667a\u51b3\u7b56\u7684\u4fe1\u606f\u548c\u5de5\u5177\u3002<\/li>\n<li><strong>\u6559\u80b2\u6295\u8d44\u8005\uff1a<\/strong> \u63d0\u4f9b\u8d44\u6e90\u4ee5\u5e2e\u52a9\u516c\u4f17\u4e86\u89e3\u5e02\u573a\u53ca\u5176\u6295\u8d44\u3002<\/li>\n<\/ul>\n<h2>FINRA \u5173\u952e\u7279\u5f81\u5206\u6790<\/h2>\n<p>FINRA \u7684\u4e3b\u8981\u7279\u70b9\u5305\u62ec\uff1a<\/p>\n<ol>\n<li><strong>\u76d1\u7ba1\u76d1\u7763\uff1a<\/strong> \u76d1\u7763\u548c\u89c4\u8303\u80a1\u7968\u3001\u516c\u53f8\u503a\u5238\u3001\u8bc1\u5238\u671f\u8d27\u548c\u671f\u6743\u4ea4\u6613\u3002<\/li>\n<li><strong>\u5408\u89c4\u4e0e\u76d1\u7763\uff1a<\/strong> \u5f3a\u5236\u9075\u5b88\u5176\u81ea\u8eab\u89c4\u5219\u548c\u8054\u90a6\u8bc1\u5238\u6cd5\u3002<\/li>\n<li><strong>\u4e89\u8bae\u89e3\u51b3\uff1a<\/strong> \u7ba1\u7406\u6700\u5927\u7684\u6295\u8d44\u8005\u548c\u6ce8\u518c\u516c\u53f8\u4e89\u8bae\u89e3\u51b3\u8bba\u575b\u3002<\/li>\n<li><strong>\u5e02\u573a\u76d1\u7763\uff1a<\/strong> \u5229\u7528\u5148\u8fdb\u6280\u672f\u76d1\u63a7\u4ea4\u6613\u6d3b\u52a8\u5e76\u8bc6\u522b\u6f5c\u5728\u7684\u4e0d\u5f53\u884c\u4e3a\u3002<\/li>\n<\/ol>\n<h2>FINRA \u76d1\u7ba1\u804c\u80fd\u7684\u7c7b\u578b<\/h2>\n<table>\n<thead>\n<tr>\n<th>\u529f\u80fd\u7c7b\u578b<\/th>\n<th>\u63cf\u8ff0<\/th>\n<\/tr>\n<\/thead>\n<tbody>\n<tr>\n<td>\u89c4\u5219\u5236\u5b9a<\/td>\n<td>\u5236\u5b9a\u8bc1\u5238\u4ea4\u6613\u548c\u7ecf\u7eaa\u4ea4\u6613\u5546\u8fd0\u8425\u4e2d\u7684\u9053\u5fb7\u5b9e\u8df5\u89c4\u5219\u3002<\/td>\n<\/tr>\n<tr>\n<td>\u5e02\u573a\u76d1\u7ba1<\/td>\n<td>\u76d1\u7763\u4ea4\u6613\u4ee5\u9632\u6b62\u6b3a\u8bc8\u548c\u64cd\u7eb5\u884c\u4e3a\u3002<\/td>\n<\/tr>\n<tr>\n<td>\u4e8b\u52a1\u6240\u8003\u8bd5<\/td>\n<td>\u5bf9\u6ce8\u518c\u516c\u53f8\u8fdb\u884c\u5b9a\u671f\u5ba1\u6838\u4ee5\u786e\u4fdd\u5408\u89c4\u6027\u3002<\/td>\n<\/tr>\n<tr>\n<td>\u8bb8\u53ef\u548c\u6ce8\u518c<\/td>\n<td>\u786e\u4fdd\u7ecf\u7eaa\u4eba\u548c\u516c\u53f8\u5728\u8fd0\u8425\u524d\u7b26\u5408\u8d44\u683c\u3002<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<h2>FINRA \u76d1\u7ba1\u7684\u7528\u9014\u3001\u95ee\u9898\u548c\u89e3\u51b3\u65b9\u6848<\/h2>\n<p><strong>\u7528\u9014\uff1a<\/strong><\/p>\n<ol>\n<li>\u4fdd\u62a4\u6295\u8d44\u8005\u514d\u53d7\u6b3a\u8bc8\u3002<\/li>\n<li>\u786e\u4fdd\u8bc1\u5238\u5e02\u573a\u7684\u8bda\u4fe1\u3002<\/li>\n<li>\u4fc3\u8fdb\u900f\u660e\u5ea6\u548c\u516c\u5e73\u6027\u3002<\/li>\n<\/ol>\n<p><strong>\u95ee\u9898\u53ca\u89e3\u51b3\u65b9\u6848\uff1a<\/strong><\/p>\n<ul>\n<li><strong>\u6311\u6218\uff1a<\/strong> \u8ddf\u4e0a\u6280\u672f\u8fdb\u6b65\u3002\n<ul>\n<li><strong>\u89e3\u51b3\u65b9\u6848\uff1a<\/strong> \u5b9e\u65bd\u5148\u8fdb\u7684\u76d1\u63a7\u548c\u6570\u636e\u5206\u6790\u5de5\u5177\u3002<\/li>\n<\/ul>\n<\/li>\n<li><strong>\u6311\u6218\uff1a<\/strong> \u5e94\u5bf9\u4e0d\u65ad\u53d8\u5316\u7684\u5e02\u573a\u64cd\u7eb5\u884c\u4e3a\u3002\n<ul>\n<li><strong>\u89e3\u51b3\u65b9\u6848\uff1a<\/strong> \u4e0d\u65ad\u66f4\u65b0\u6cd5\u89c4\u548c\u6267\u6cd5\u7b56\u7565\u3002<\/li>\n<\/ul>\n<\/li>\n<\/ul>\n<h2>\u4e0e\u7c7b\u4f3c\u7ec4\u7ec7\u7684\u6bd4\u8f83\u5206\u6790<\/h2>\n<table>\n<thead>\n<tr>\n<th>\u7279\u5f81<\/th>\n<th>\u7f8e\u56fd\u91d1\u878d\u4e1a\u76d1\u7ba1\u5c40<\/th>\n<th>\u7f8e\u56fd\u8bc1\u5238\u4ea4\u6613\u59d4\u5458\u4f1a<\/th>\n<th>SRO\uff08\u5176\u4ed6\u81ea\u5f8b\u7ec4\u7ec7\uff09<\/th>\n<\/tr>\n<\/thead>\n<tbody>\n<tr>\n<td>\u6743\u5a01<\/td>\n<td>\u81ea\u5f8b\uff1b\u5728 SEC \u76d1\u7763\u4e0b\u8fd0\u8425<\/td>\n<td>\u653f\u5e9c\u673a\u5173<\/td>\n<td>\u81ea\u5f8b\uff1b\u56e0\u7ec4\u7ec7\u800c\u5f02<\/td>\n<\/tr>\n<tr>\n<td>\u91cd\u70b9<\/td>\n<td>\u7ecf\u7eaa\u4ea4\u6613\u5546\u76d1\u7ba1\u548c\u5e02\u573a\u8bda\u4fe1<\/td>\n<td>\u5e7f\u6cdb\u7684\u8bc1\u5238\u5e02\u573a\u76d1\u7ba1<\/td>\n<td>\u7279\u5b9a\u7684\u7ec6\u5206\u5e02\u573a\u6216\u529f\u80fd<\/td>\n<\/tr>\n<tr>\n<td>\u6267\u884c<\/td>\n<td>\u53ef\u4ee5\u5f81\u6536\u7f5a\u6b3e\u3001\u6682\u505c\u6216\u9a71\u9010\u4f1a\u5458<\/td>\n<td>\u5e7f\u6cdb\u7684\u6267\u6cd5\u6743\u529b\uff0c\u5305\u62ec\u91c7\u53d6\u6cd5\u5f8b\u884c\u52a8<\/td>\n<td>\u6709\u6240\u4e0d\u540c\uff0c\u4e0e FINRA \u76f8\u6bd4\u901a\u5e38\u53d7\u5230\u9650\u5236<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<h2>FINRA \u7684\u672a\u6765\u524d\u666f\u548c\u6280\u672f<\/h2>\n<ul>\n<li><strong>\u91c7\u7528\u4eba\u5de5\u667a\u80fd\u548c\u673a\u5668\u5b66\u4e60\uff1a<\/strong> \u52a0\u5f3a\u5e02\u573a\u76d1\u7763\u548c\u6b3a\u8bc8\u68c0\u6d4b\u3002<\/li>\n<li><strong>\u533a\u5757\u94fe\u96c6\u6210\uff1a<\/strong> \u53ef\u80fd\u7528\u4e8e\u5ba1\u8ba1\u8ddf\u8e2a\u548c\u4ea4\u6613\u9a8c\u8bc1\u3002<\/li>\n<li><strong>\u5173\u6ce8\u7f51\u7edc\u5b89\u5168\uff1a<\/strong> \u5e94\u5bf9\u91d1\u878d\u9886\u57df\u65e5\u76ca\u4e25\u91cd\u7684\u7f51\u7edc\u5a01\u80c1\u3002<\/li>\n<\/ul>\n<h2>\u4ee3\u7406\u670d\u52a1\u5668\u5728 FINRA \u4e2d\u7684\u4f5c\u7528<\/h2>\n<p>\u4ee3\u7406\u670d\u52a1\u5668\u5728 FINRA \u76d1\u7ba1\u7684\u6d3b\u52a8\u4e2d\u975e\u5e38\u6709\u7528\uff1a<\/p>\n<ol>\n<li><strong>\u589e\u5f3a\u5b89\u5168\u6027\uff1a<\/strong> \u4ee3\u7406\u670d\u52a1\u5668\u53ef\u4ee5\u6dfb\u52a0\u989d\u5916\u7684\u5b89\u5168\u5c42\u6765\u4fdd\u62a4\u654f\u611f\u7684\u8d22\u52a1\u6570\u636e\u3002<\/li>\n<li><strong>\u533f\u540d\u548c\u9690\u79c1\uff1a<\/strong> \u5bf9\u4e8e\u5728\u4e0d\u900f\u9732\u8eab\u4efd\u7684\u60c5\u51b5\u4e0b\u8fdb\u884c\u5e02\u573a\u7814\u7a76\u6216\u5206\u6790\u7684\u516c\u53f8\u5f88\u6709\u7528\u3002<\/li>\n<li><strong>\u5408\u89c4\u6027\u6d4b\u8bd5\uff1a<\/strong> \u4ee3\u7406\u53ef\u7528\u4e8e\u6d4b\u8bd5\u516c\u53f8\u5728\u4e0d\u540c\u5730\u70b9\u662f\u5426\u9075\u5b88 FINRA \u6cd5\u89c4\u3002<\/li>\n<\/ol>\n<h2>\u76f8\u5173\u94fe\u63a5<\/h2>\n<ul>\n<li><a target=\"_new\" href=\"https:\/\/www.finra.org\/\" rel=\"noopener\">\u7f8e\u56fd\u91d1\u878d\u4e1a\u76d1\u7ba1\u5c40\u5b98\u65b9\u7f51\u7ad9<\/a><\/li>\n<li><a target=\"_new\" rel=\"noopener\">SEC FINRA \u6982\u8ff0<\/a><\/li>\n<li><a target=\"_new\" rel=\"noopener\">FINRA \u7684\u6295\u8d44\u8005\u6559\u80b2\u8d44\u6e90<\/a><\/li>\n<li><a target=\"_new\" rel=\"noopener\">FINRA BrokerCheck \u8fdb\u884c\u80cc\u666f\u8c03\u67e5<\/a><\/li>\n<\/ul>\n<p>\u8fd9\u4e00\u5168\u9762\u7684\u6982\u8ff0\u6982\u62ec\u4e86 FINRA \u7684\u6838\u5fc3\u65b9\u9762\uff0c\u5f3a\u8c03\u4e86\u5176\u4f5c\u7528\u3001\u529f\u80fd\u548c\u672a\u6765\u65b9\u5411\uff0c\u7279\u522b\u662f\u4e0e\u91d1\u878d\u884c\u4e1a\u5185\u7684\u4ee3\u7406\u670d\u52a1\u5668\u4f7f\u7528\u76f8\u5173\u7684\u65b9\u5411\u3002<\/p>","protected":false},"featured_media":580295,"menu_order":0,"template":"","meta":{"_acf_changed":false,"inline_featured_image":false,"footnotes":""},"class_list":["post-580294","glossary","type-glossary","status-publish","has-post-thumbnail","hentry"],"acf":[],"_links":{"self":[{"href":"https:\/\/proxyelite.info\/cn\/wp-json\/wp\/v2\/glossary\/580294","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/proxyelite.info\/cn\/wp-json\/wp\/v2\/glossary"}],"about":[{"href":"https:\/\/proxyelite.info\/cn\/wp-json\/wp\/v2\/types\/glossary"}],"version-history":[{"count":0,"href":"https:\/\/proxyelite.info\/cn\/wp-json\/wp\/v2\/glossary\/580294\/revisions"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/proxyelite.info\/cn\/wp-json\/wp\/v2\/media\/580295"}],"wp:attachment":[{"href":"https:\/\/proxyelite.info\/cn\/wp-json\/wp\/v2\/media?parent=580294"}],"curies":[{"name":"\u53ef\u6e7f\u6027\u7c89\u5242","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}