Mndandanda wa 11 - Wothandizira Malonda Ovomerezeka

Ndemanga Yogulitsa Wothandizira

Mutu wa FINRA Series 11 umadziwikanso kuti Wothandizira Wothandizira-Order Processing Examination. Kupititsa patsogolo kumapatsa wogulitsa wogulitsa malonda kuti atenge ndi kuitanitsa malamulo osakakamizidwa omwe akukakamizidwa m'malo mwa wothandizira zachuma , ndi kupereka ndondomeko zamtengo wapatali zamakono. Chida chosafunidwa kugula kapena kugulitsa malonda ndi chimodzimodzi chopangidwa ndi wofuna chithandizo payekha, popanda ndondomeko, kupempha kapena kuganiza kuchokera kwa wogwira ntchito ku ndondomeko ya ndalama zogwirizana ndi ntchito yovomerezeka.

Miyezo Yapamwamba pa Makampani Akuluakulu

Mutu Woyamba 11, makamaka, ndilo lopangidwa bwino kwambiri komanso losavuta kwambiri la zofanana ndi zolemba za Series 7 . Komabe, zindikirani kuti makampani akuluakulu ogulitsira malonda amatha kukhala ndi othandizira omwe amalembetsa malonda ku chidziwitso chapamwamba kwambiri, kuwapempha kuti apititse mayeso 7 ndi Series 66 , mayesero ofanana omwe aphungu awo a zachuma ayenera kudutsa.

Zoletso pa Olemba 11 Olemba

Mndandanda wa 11 othandizira ogulitsa malonda akuyenera kumatsatira malamulo awa pa ntchito yawo:

• Ayenera kukhala pamalo a membala wawo pomwe akulandira ndi kukonza malamulo osakakamizidwa omwe akufunsidwa kapena pamene akupereka ndemanga zamtengo.
• Ayenera kuyang'aniridwa mwachindunji ndi woyang'anira woyenera.
• Iwo sangapereke uphungu wa malingaliro kapena malingaliro.
• Iwo sangapange malingaliro.
• Iwo sangalowemo maulamuliro m'malo mwa wothandizira okha.

• Iwo sangalandire kapena kutsegula akaunti zatsopano.
• Iwo sangakhale oyenerera makasitomala omwe alipo kale.
• Iwo sangavomereze maulamuliro a masitepe a municipalities kapena ndondomeko yochita nawo mbali.
• Iwo sangalandire malipiro owonjezera kapena osalunjika chifukwa cha chiwerengero kapena kukula kwa zomwe akugwiritsira ntchito.

Ubwino wa Othandizira Malonda Olembetsa

Mndandanda wa 11 wolembetsa wothandizira malonda angakhale ofunika kwambiri kwa wothandizira zachuma kapena gulu la alangizi a zachuma omwe amalandira chiwerengero chachikulu cha malamulo osamalidwa osawafunsa kuchokera kwa makasitomala omwe ali m'buku lake la zamalonda .

Kuipa kwa Othandizira Malonda Olembetsa

Wothandizira malonda olembetsa omwe ali pansi pa zoletsedwa zomwe zili pamwambali ndi wolandira ndondomeko yoyenera, yemwe sangapereke uphungu ndi uphungu. Wothandizira zachuma pa nkhaniyi akhoza kuthana ndi malamulo osafunidwa, kupereka uphungu wotere kwa makasitomala kumene kuli koyenera, pamene malamulowa angakhale osalangizidwa.

Chotsatira cha Kufufuza

Mutu 11 uli ndi mafunso 50 ndipo umatenga ola limodzi. Mapiritsi a 70% ndi oposa. Malo akuluakulu omwe amapezeka pamayeso ndi awa:

• Mitundu ya zinsinsi
• Ma akaunti a makasitomala ndi malamulo
• Misika yamalonda
• Makampani ogulitsa chitetezo

Koposa makamaka, mayeso a Series 11 amayesa kudziwa:

• Maphunziro amodzimodzi; mtengo wamsika / wamtengo wapatali; magawo ang'onoang'ono
• Mitundu ya katundu wokondedwa, monga kuchulukana, kutembenuka, kusasinthika ndi kusintha / kusintha kwake
• Kusiyanitsa pakati pa malonda omwe amakonda komanso osungidwa ndi ngongole
• Mitundu ya zosankha ndi mawu omveka bwino
• Makomiti a ku America omwe amatha kusungirako katundu / magawo (ADRs ndi ADSs)
• Zolonda zamalonda zamalonda (REITs)
• Mitundu yotsatsa malonda a kampani ndi ndalama zogulitsa zogulitsa (ETFs)
• Mitundu ya ma akaunti ndi malonda omwe angapangidwe aliyense
• Kulandira malamulo a makasitomala ndi kuwamasulira iwo kuti aphedwe

• Mitundu ya malonda ndi maulamuliro komanso pamene amagwiritsidwa ntchito
• Chidziwitso choti chilembedwe pa tikiti yopereka makasitomala
• Kusankha luso la kasitomala kuti apereke zotetezedwa kuti zigulitsidwe
• Zosungitsa malo
• Misika yamalonda ndi kusiyana pakati pa minda yamalonda ndi wogulitsa
• Mawu otanthauzira zokhudzana ndi malonda
• Zofunikira pa nthawi ya malonda zimasiya
• Ntchito za SEC ndi Federal Reserve
• Ntchito za FINRA ndi mabungwe ena odziletsa
• The Securities Exchange Act ya 1934
• Kuchita malonda
• FINRA ndi NASD amalamulira pa kulembetsa, maphunziro ndi maphunziro opitiliza
• Malamulo a makhalidwe abwino
• Ndondomeko yoyang'anira ndikutsatira malamulo ku makampani omwe ali m'bungwe