Exempt Reporting Advisers ("ERAs") yog tus kws pab tswv yim kev nqis peev uas tsis tas yuav tso npe ua tus kws pab tswv yim nrog US Securities Exchange Commission ("SEC") lossis lub xeev tswj hwm, tab sis tseem yuav tsum them tus nqi thiab tshaj tawm cov ntaub ntawv pej xeem ntawm IARD/FINRA system.
Leej twg yuav tsum tso npe ua tus kws tshaj lij tshaj tawm kev zam?
Tus Kws Tshaj Lij Tshaj Tawm Tshaj Tawm yog dab tsi? Cov kws pab tswv yim txog kev nqis peev yuav tsum tau sau npe nrog txawm tias tsoomfwv lossis lub xeev cov cai tswj hwm kev nyab xeeb, nyob ntawm seb cov khoom muaj nqis tswj hwm. "Cov kws pab tswv yim me" (nrog qis dua $ 25 lab hauv cov cuab tam) tuaj yeem sau npe nrog cov tub ceev xwm kev nyab xeeb hauv xeev nkaus xwb.
Leej twg raug zam los ntawm kev tso npe ua tus kws pab tswv yim peev?
RBIC Advisers Relief Act kuj tau hloov kho Advisers Act ntu 203(m), uas zam los ntawm kev sau npe tus kws pab tswv yim peev ib tus kws pab tswv yim uas tsuas yog qhia cov nyiaj ntiag tug thiab muaj peev txheej tswj hwm hauv Tebchaws Meskas tsawg dua. $ 150 lab, los ntawm kev tsis suav nrog RBIC cov cuab tam los ntawm suav txog $ 150 lab qhov pib …
Puas zam kev tshaj tawm cov kws pab tswv yim yuav tsum ua daim ntawv ADV?
Txhua tus kws tshaj lij tshaj tawm kev zam: Koj yuav tsum xa koj daim ntawv pib ADV ua ntej 60 hnub ntawm kev cia siab rau qhov kev zamlos ntawm kev sau npe raws li tshooj 203(l) ntawm Txoj Cai Pabcuam raws li ib tus kws pab tswv yim nkaus xwb rau ib lossis ntau dua cov peev nyiaj peev lossis nqe lus 203(m) ntawm Txoj Cai Pabcuam vim tias koj uatsuas yog ua tus pab tswv yim rau…
Puas yog zam tshaj tawm cov kws pab tswv yim ua raws li txoj cai saib xyuas?
Txoj cai saib xyuas tsis siv rau kev zam tshaj tawm cov kws pab tswv yim. Cov peev nyiaj ntiag tug thiab lwm cov peev nyiaj ntiag tug feem ntau siv SPVs los pab txhawb kev nqis peev peev.
