{"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\/vi\/glossary\/finra-financial-industry-regulatory-authority\/","title":{"rendered":"FINRA (C\u01a1 quan qu\u1ea3n l\u00fd ng\u00e0nh t\u00e0i ch\u00ednh)"},"content":{"rendered":"<h2>Gi\u1edbi thi\u1ec7u v\u1ec1 FINRA<\/h2>\n<p>C\u01a1 quan qu\u1ea3n l\u00fd ng\u00e0nh t\u00e0i ch\u00ednh (FINRA) l\u00e0 m\u1ed9t t\u1ed5 ch\u1ee9c phi ch\u00ednh ph\u1ee7 qu\u1ea3n l\u00fd c\u00e1c c\u00f4ng ty m\u00f4i gi\u1edbi th\u00e0nh vi\u00ean v\u00e0 th\u1ecb tr\u01b0\u1eddng trao \u0111\u1ed5i t\u1ea1i Hoa K\u1ef3. L\u00e0 m\u1ed9t t\u1ed5 ch\u1ee9c \u0111\u1ed9c l\u1eadp, t\u1ef1 qu\u1ea3n l\u00fd, FINRA t\u1eadn t\u00e2m b\u1ea3o v\u1ec7 nh\u00e0 \u0111\u1ea7u t\u01b0 v\u00e0 t\u00ednh to\u00e0n v\u1eb9n c\u1ee7a th\u1ecb tr\u01b0\u1eddng th\u00f4ng qua quy \u0111\u1ecbnh hi\u1ec7u qu\u1ea3 v\u00e0 hi\u1ec7u qu\u1ea3 \u0111\u1ed1i v\u1edbi c\u00e1c \u0111\u1ea1i l\u00fd m\u00f4i gi\u1edbi.<\/p>\n<h2>T\u1ed5ng quan chi ti\u1ebft v\u1ec1 FINRA<\/h2>\n<p>FINRA ho\u1ea1t \u0111\u1ed9ng d\u01b0\u1edbi s\u1ef1 gi\u00e1m s\u00e1t c\u1ee7a \u1ee6y ban Ch\u1ee9ng kho\u00e1n v\u00e0 Giao d\u1ecbch (SEC). Nhi\u1ec7m v\u1ee5 ch\u00ednh c\u1ee7a n\u00f3 l\u00e0 b\u1ea3o v\u1ec7 c\u00f4ng ch\u00fang \u0111\u1ea7u t\u01b0 kh\u1ecfi gian l\u1eadn v\u00e0 c\u00e1c h\u00e0nh vi x\u1ea5u. FINRA ch\u1ecbu tr\u00e1ch nhi\u1ec7m:<\/p>\n<ul>\n<li><strong>Quy t\u1eafc vi\u1ebft v\u00e0 th\u1ef1c thi:<\/strong> Ph\u00e1t tri\u1ec3n c\u00e1c quy t\u1eafc \u0111\u1ea3m b\u1ea3o ho\u1ea1t \u0111\u1ed9ng kinh doanh c\u00f4ng b\u1eb1ng v\u00e0 c\u00f3 \u0111\u1ea1o \u0111\u1ee9c gi\u1eefa c\u00e1c \u0111\u1ea1i l\u00fd m\u00f4i gi\u1edbi.<\/li>\n<li><strong>C\u00e1c c\u00f4ng ty ki\u1ec3m tra:<\/strong> Ti\u1ebfn h\u00e0nh \u0111\u00e1nh gi\u00e1 \u0111\u1ecbnh k\u1ef3 c\u00e1c c\u00f4ng ty \u0111\u1ec3 \u0111\u1ea3m b\u1ea3o tu\u00e2n th\u1ee7 c\u00e1c quy t\u1eafc FINRA v\u00e0 lu\u1eadt ch\u1ee9ng kho\u00e1n li\u00ean bang.<\/li>\n<li><strong>Th\u00fac \u0111\u1ea9y t\u00ednh minh b\u1ea1ch c\u1ee7a th\u1ecb tr\u01b0\u1eddng:<\/strong> Cung c\u1ea5p th\u00f4ng tin v\u00e0 c\u00f4ng c\u1ee5 gi\u00fap nh\u00e0 \u0111\u1ea7u t\u01b0 \u0111\u01b0a ra quy\u1ebft \u0111\u1ecbnh s\u00e1ng su\u1ed1t.<\/li>\n<li><strong>\u0110\u00e0o t\u1ea1o nh\u00e0 \u0111\u1ea7u t\u01b0:<\/strong> Cung c\u1ea5p c\u00e1c ngu\u1ed3n l\u1ef1c \u0111\u1ec3 gi\u00fap c\u00f4ng ch\u00fang hi\u1ec3u th\u1ecb tr\u01b0\u1eddng v\u00e0 c\u00e1c kho\u1ea3n \u0111\u1ea7u t\u01b0 c\u1ee7a h\u1ecd.<\/li>\n<\/ul>\n<h2>Ph\u00e2n t\u00edch c\u00e1c t\u00ednh n\u0103ng ch\u00ednh c\u1ee7a FINRA<\/h2>\n<p>C\u00e1c t\u00ednh n\u0103ng ch\u00ednh c\u1ee7a FINRA bao g\u1ed3m:<\/p>\n<ol>\n<li><strong>Gi\u00e1m s\u00e1t qu\u1ea3n l\u00fd:<\/strong> Gi\u00e1m s\u00e1t v\u00e0 \u0111i\u1ec1u ti\u1ebft giao d\u1ecbch c\u1ed5 phi\u1ebfu, tr\u00e1i phi\u1ebfu doanh nghi\u1ec7p, ch\u1ee9ng kho\u00e1n t\u01b0\u01a1ng lai v\u00e0 quy\u1ec1n ch\u1ecdn.<\/li>\n<li><strong>Tu\u00e2n th\u1ee7 v\u00e0 gi\u00e1m s\u00e1t:<\/strong> Th\u1ef1c thi vi\u1ec7c tu\u00e2n th\u1ee7 c\u00e1c quy t\u1eafc ri\u00eang c\u1ee7a m\u00ecnh v\u00e0 lu\u1eadt ch\u1ee9ng kho\u00e1n li\u00ean bang.<\/li>\n<li><strong>Gi\u1ea3i quy\u1ebft tranh ch\u1ea5p:<\/strong> Qu\u1ea3n l\u00fd di\u1ec5n \u0111\u00e0n gi\u1ea3i quy\u1ebft tranh ch\u1ea5p l\u1edbn nh\u1ea5t d\u00e0nh cho nh\u00e0 \u0111\u1ea7u t\u01b0 v\u00e0 doanh nghi\u1ec7p \u0111\u00e3 \u0111\u0103ng k\u00fd.<\/li>\n<li><strong>Gi\u00e1m s\u00e1t th\u1ecb tr\u01b0\u1eddng:<\/strong> S\u1eed d\u1ee5ng c\u00f4ng ngh\u1ec7 ti\u00ean ti\u1ebfn \u0111\u1ec3 gi\u00e1m s\u00e1t ho\u1ea1t \u0111\u1ed9ng giao d\u1ecbch v\u00e0 x\u00e1c \u0111\u1ecbnh c\u00e1c h\u00e0nh vi sai tr\u00e1i ti\u1ec1m \u1ea9n.<\/li>\n<\/ol>\n<h2>C\u00e1c lo\u1ea1i ch\u1ee9c n\u0103ng \u0111i\u1ec1u ti\u1ebft FINRA<\/h2>\n<table>\n<thead>\n<tr>\n<th>Lo\u1ea1i ch\u1ee9c n\u0103ng<\/th>\n<th>S\u1ef1 mi\u00eau t\u1ea3<\/th>\n<\/tr>\n<\/thead>\n<tbody>\n<tr>\n<td>x\u00e2y d\u1ef1ng quy t\u1eafc<\/td>\n<td>Thi\u1ebft l\u1eadp c\u00e1c quy t\u1eafc v\u1ec1 th\u1ef1c h\u00e0nh \u0111\u1ea1o \u0111\u1ee9c trong giao d\u1ecbch ch\u1ee9ng kho\u00e1n v\u00e0 ho\u1ea1t \u0111\u1ed9ng m\u00f4i gi\u1edbi-\u0111\u1ea1i l\u00fd.<\/td>\n<\/tr>\n<tr>\n<td>Quy \u0111\u1ecbnh th\u1ecb tr\u01b0\u1eddng<\/td>\n<td>Gi\u00e1m s\u00e1t giao d\u1ecbch \u0111\u1ec3 ng\u0103n ch\u1eb7n c\u00e1c h\u00e0nh vi gian l\u1eadn v\u00e0 thao t\u00fang.<\/td>\n<\/tr>\n<tr>\n<td>Ki\u1ec3m tra c\u00f4ng ty<\/td>\n<td>Ki\u1ec3m to\u00e1n th\u01b0\u1eddng xuy\u00ean c\u00e1c c\u00f4ng ty \u0111\u00e3 \u0111\u0103ng k\u00fd \u0111\u1ec3 \u0111\u1ea3m b\u1ea3o tu\u00e2n th\u1ee7.<\/td>\n<\/tr>\n<tr>\n<td>C\u1ea5p ph\u00e9p v\u00e0 \u0111\u0103ng k\u00fd<\/td>\n<td>\u0110\u1ea3m b\u1ea3o r\u1eb1ng c\u00e1c nh\u00e0 m\u00f4i gi\u1edbi v\u00e0 c\u00f4ng ty \u0111\u00e1p \u1ee9ng \u0111\u1ee7 ti\u00eau chu\u1ea9n tr\u01b0\u1edbc khi ho\u1ea1t \u0111\u1ed9ng.<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<h2>C\u00f4ng d\u1ee5ng, v\u1ea5n \u0111\u1ec1 v\u00e0 gi\u1ea3i ph\u00e1p trong Quy \u0111\u1ecbnh FINRA<\/h2>\n<p><strong>C\u00f4ng d\u1ee5ng:<\/strong><\/p>\n<ol>\n<li>B\u1ea3o v\u1ec7 nh\u00e0 \u0111\u1ea7u t\u01b0 kh\u1ecfi gian l\u1eadn.<\/li>\n<li>\u0110\u1ea3m b\u1ea3o t\u00ednh to\u00e0n v\u1eb9n c\u1ee7a th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n.<\/li>\n<li>Th\u00fac \u0111\u1ea9y s\u1ef1 minh b\u1ea1ch v\u00e0 c\u00f4ng b\u1eb1ng.<\/li>\n<\/ol>\n<p><strong>V\u1ea5n \u0111\u1ec1 v\u00e0 gi\u1ea3i ph\u00e1p:<\/strong><\/p>\n<ul>\n<li><strong>Th\u1eed th\u00e1ch:<\/strong> Theo k\u1ecbp ti\u1ebfn b\u1ed9 c\u00f4ng ngh\u1ec7.\n<ul>\n<li><strong>Gi\u1ea3i ph\u00e1p:<\/strong> Tri\u1ec3n khai c\u00e1c c\u00f4ng c\u1ee5 gi\u00e1m s\u00e1t v\u00e0 ph\u00e2n t\u00edch d\u1eef li\u1ec7u ti\u00ean ti\u1ebfn.<\/li>\n<\/ul>\n<\/li>\n<li><strong>Th\u1eed th\u00e1ch:<\/strong> Gi\u1ea3i quy\u1ebft c\u00e1c thao t\u00fang th\u1ecb tr\u01b0\u1eddng \u0111ang ph\u00e1t tri\u1ec3n.\n<ul>\n<li><strong>Gi\u1ea3i ph\u00e1p:<\/strong> Li\u00ean t\u1ee5c c\u1eadp nh\u1eadt c\u00e1c quy \u0111\u1ecbnh v\u00e0 chi\u1ebfn l\u01b0\u1ee3c th\u1ef1c thi.<\/li>\n<\/ul>\n<\/li>\n<\/ul>\n<h2>Ph\u00e2n t\u00edch so s\u00e1nh v\u1edbi c\u00e1c t\u1ed5 ch\u1ee9c t\u01b0\u01a1ng t\u1ef1<\/h2>\n<table>\n<thead>\n<tr>\n<th>T\u00ednh n\u0103ng<\/th>\n<th>FINRA<\/th>\n<th>GI\u00c2Y<\/th>\n<th>SRO (C\u00e1c t\u1ed5 ch\u1ee9c t\u1ef1 qu\u1ea3n l\u00fd kh\u00e1c)<\/th>\n<\/tr>\n<\/thead>\n<tbody>\n<tr>\n<td>Th\u1ea9m quy\u1ec1n<\/td>\n<td>T\u1ef1 \u0111i\u1ec1u ch\u1ec9nh; ho\u1ea1t \u0111\u1ed9ng d\u01b0\u1edbi s\u1ef1 gi\u00e1m s\u00e1t c\u1ee7a SEC<\/td>\n<td>C\u01a1 quan ch\u00ednh ph\u1ee7<\/td>\n<td>T\u1ef1 \u0111i\u1ec1u ch\u1ec9nh; thay \u0111\u1ed5i t\u00f9y theo t\u1ed5 ch\u1ee9c<\/td>\n<\/tr>\n<tr>\n<td>T\u1eadp trung<\/td>\n<td>Quy \u0111\u1ecbnh m\u00f4i gi\u1edbi-\u0111\u1ea1i l\u00fd v\u00e0 t\u00ednh to\u00e0n v\u1eb9n c\u1ee7a th\u1ecb tr\u01b0\u1eddng<\/td>\n<td>Quy \u0111\u1ecbnh r\u1ed9ng r\u00e3i v\u1ec1 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n<\/td>\n<td>C\u00e1c ph\u00e2n kh\u00fac ho\u1eb7c ch\u1ee9c n\u0103ng th\u1ecb tr\u01b0\u1eddng c\u1ee5 th\u1ec3<\/td>\n<\/tr>\n<tr>\n<td>Th\u1ef1c thi<\/td>\n<td>C\u00f3 th\u1ec3 ph\u1ea1t ti\u1ec1n, \u0111\u00ecnh ch\u1ec9 ho\u1eb7c tr\u1ee5c xu\u1ea5t th\u00e0nh vi\u00ean<\/td>\n<td>Quy\u1ec1n th\u1ef1c thi r\u1ed9ng r\u00e3i bao g\u1ed3m c\u1ea3 h\u00e0nh \u0111\u1ed9ng ph\u00e1p l\u00fd<\/td>\n<td>Kh\u00e1c nhau, th\u01b0\u1eddng b\u1ecb h\u1ea1n ch\u1ebf so v\u1edbi FINRA<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<h2>Quan \u0111i\u1ec3m v\u00e0 c\u00f4ng ngh\u1ec7 t\u01b0\u01a1ng lai \u1edf FINRA<\/h2>\n<ul>\n<li><strong>\u00c1p d\u1ee5ng AI v\u00e0 Machine Learning:<\/strong> \u0110\u1ec3 t\u0103ng c\u01b0\u1eddng gi\u00e1m s\u00e1t th\u1ecb tr\u01b0\u1eddng v\u00e0 ph\u00e1t hi\u1ec7n gian l\u1eadn.<\/li>\n<li><strong>T\u00edch h\u1ee3p chu\u1ed7i kh\u1ed1i:<\/strong> C\u00f3 kh\u1ea3 n\u0103ng trong qu\u00e1 tr\u00ecnh ki\u1ec3m tra v\u00e0 x\u00e1c nh\u1eadn giao d\u1ecbch.<\/li>\n<li><strong>T\u1eadp trung v\u00e0o An ninh m\u1ea1ng:<\/strong> Gi\u1ea3i quy\u1ebft c\u00e1c m\u1ed1i \u0111e d\u1ecda m\u1ea1ng ng\u00e0y c\u00e0ng t\u0103ng trong l\u0129nh v\u1ef1c t\u00e0i ch\u00ednh.<\/li>\n<\/ul>\n<h2>Vai tr\u00f2 c\u1ee7a m\u00e1y ch\u1ee7 proxy trong m\u1ed1i li\u00ean k\u1ebft v\u1edbi FINRA<\/h2>\n<p>M\u00e1y ch\u1ee7 proxy c\u00f3 th\u1ec3 c\u00f3 l\u1ee3i trong b\u1ed1i c\u1ea3nh c\u00e1c ho\u1ea1t \u0111\u1ed9ng do FINRA qu\u1ea3n l\u00fd:<\/p>\n<ol>\n<li><strong>B\u1ea3o m\u1eadt n\u00e2ng cao:<\/strong> M\u00e1y ch\u1ee7 proxy c\u00f3 th\u1ec3 th\u00eam m\u1ed9t l\u1edbp b\u1ea3o m\u1eadt b\u1ed5 sung \u0111\u1ec3 b\u1ea3o v\u1ec7 d\u1eef li\u1ec7u t\u00e0i ch\u00ednh nh\u1ea1y c\u1ea3m.<\/li>\n<li><strong>\u1ea8n danh v\u00e0 quy\u1ec1n ri\u00eang t\u01b0:<\/strong> H\u1eefu \u00edch cho c\u00e1c c\u00f4ng ty ti\u1ebfn h\u00e0nh nghi\u00ean c\u1ee9u ho\u1eb7c ph\u00e2n t\u00edch th\u1ecb tr\u01b0\u1eddng m\u00e0 kh\u00f4ng ti\u1ebft l\u1ed9 danh t\u00ednh c\u1ee7a h\u1ecd.<\/li>\n<li><strong>Ki\u1ec3m tra tu\u00e2n th\u1ee7:<\/strong> Proxy c\u00f3 th\u1ec3 \u0111\u01b0\u1ee3c s\u1eed d\u1ee5ng \u0111\u1ec3 ki\u1ec3m tra s\u1ef1 tu\u00e2n th\u1ee7 c\u1ee7a c\u00f4ng ty v\u1edbi c\u00e1c quy \u0111\u1ecbnh FINRA t\u1eeb nhi\u1ec1u \u0111\u1ecba \u0111i\u1ec3m kh\u00e1c nhau.<\/li>\n<\/ol>\n<h2>Li\u00ean k\u1ebft li\u00ean quan<\/h2>\n<ul>\n<li><a target=\"_new\" href=\"https:\/\/www.finra.org\/\" rel=\"noopener\">Trang web ch\u00ednh th\u1ee9c c\u1ee7a FINRA<\/a><\/li>\n<li><a target=\"_new\" rel=\"noopener\">SEC T\u1ed5ng quan v\u1ec1 FINRA<\/a><\/li>\n<li><a target=\"_new\" rel=\"noopener\">T\u00e0i nguy\u00ean gi\u00e1o d\u1ee5c nh\u00e0 \u0111\u1ea7u t\u01b0 c\u1ee7a FINRA<\/a><\/li>\n<li><a target=\"_new\" rel=\"noopener\">Nh\u00e0 m\u00f4i gi\u1edbi FINRAKi\u1ec3m tra ki\u1ec3m tra l\u00fd l\u1ecbch<\/a><\/li>\n<\/ul>\n<p>T\u1ed5ng quan to\u00e0n di\u1ec7n n\u00e0y g\u00f3i g\u1ecdn c\u00e1c kh\u00eda c\u1ea1nh c\u1ed1t l\u00f5i c\u1ee7a FINRA, nh\u1ea5n m\u1ea1nh vai tr\u00f2, ch\u1ee9c n\u0103ng v\u00e0 h\u01b0\u1edbng \u0111i trong t\u01b0\u01a1ng lai c\u1ee7a n\u00f3, \u0111\u1eb7c bi\u1ec7t li\u00ean quan \u0111\u1ebfn vi\u1ec7c s\u1eed d\u1ee5ng m\u00e1y ch\u1ee7 proxy trong ng\u00e0nh t\u00e0i ch\u00ednh.<\/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\/vi\/wp-json\/wp\/v2\/glossary\/580294","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/proxyelite.info\/vi\/wp-json\/wp\/v2\/glossary"}],"about":[{"href":"https:\/\/proxyelite.info\/vi\/wp-json\/wp\/v2\/types\/glossary"}],"version-history":[{"count":0,"href":"https:\/\/proxyelite.info\/vi\/wp-json\/wp\/v2\/glossary\/580294\/revisions"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/proxyelite.info\/vi\/wp-json\/wp\/v2\/media\/580295"}],"wp:attachment":[{"href":"https:\/\/proxyelite.info\/vi\/wp-json\/wp\/v2\/media?parent=580294"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}