Abalawuli bayaxhaswa ukuba baKhusele
Ngubani obuyisele emuva kwiWall Street? Ngubani okhusela kwimidlalo yokudibanisa kwimarike yemasheya kunye nokuthungela abadayisi bezithuthi? Isakhiwo solawulo esinzima sisekuhlaleni esilindela abatyala-mali ngabanye.Ngaba le nkqubo isebenza kakuhle ngamanye amaxesha kuncike kwingxoxo; nangona kunjalo, isebenza kwininzi lwabatyalo-mali. Nangona xa sifunda ngeenkampani zengcali zemarike kwiNew York Stock Exchange ezihlawula izigidi ezingama-240 zeentlawulo kunye kunye neentlawulo zokuthengisa iimfuno zabo ngenxa yethu, kunzima ukubona indlela inkqubo ekhusela ngayo.
Ukuba ufunda malunga nabaphathi abaqinileyo, ukuthengiswa emva kweemarike kuvaliwe iingxelo zabo (i-no-no-no enkulu) okanye umthengisi wokuthengisa umhlala-phantsi yomhlala-phantsi womntu osekhulile, kukukwenza uzibuze ukuba ziphi i-watchdogs.
Ulawulo oluphezulu
Nangona kunjalo, i-industry securities enye yezo shishino ezilawulwa kakhulu kwiUnited States.I-Congress ye-US iphezulu kwinqwaba. Yakha ininzi yesakhiwo kwaye idlula imithetho emikhulu echaphazela indlela i-shishini elisebenza ngayo. Ikwagunyaza kwakhona uhlahlo lwabiwo-mali lweKhomishoni ye-Securities and Exchange kunye namanye arhente abandakanyekayo kwimisebenzi yokulawula.
I-SEC iyona gqeba elilawulayo elijongene nokujongana nezoshishino. Ubhalisa i-securities entsha kwaye ilawula zonke iifayile ezifunekayo iinkampani zikarhulumente, ezifana neengxelo zonyaka kunye nekota.
ISibini
I-SEC iphinda iphinde ilandele yonke i-stock exchange kunye nayiphi na intlangano edibene nokuthengiswa kwee-securities. Kwakhona inommandla okhuselekileyo wokulwa nobuqhetseba obona ukukhangisa kunye nokuthengisa ukwenzela ukuba iinkampani zihambelane nemithetho eqinile malunga nokuthengiswa kwee-securities.Kwinqanaba elilandelayo liGunya lokuLawula iMashishini yezezeMali (FINRA). Yadalwa ngowama-2007 xa uMbutho weSizwe weeNqununu zeMatriki unxulumene nemisebenzi yolawulo yeNew York Stock Exchange.
Leli shishini lombutho ozilawulayo ojongene nopolisa kwi-industry securities.
I-FINRA ibeka imigangatho yabathengisi bee-stockbrokers kunye nabanye abaqeqeshi bezoshishino kwaye ilayisenisi emva kokuvavanya okubanzi.
Akukho Nja
I-FINRA ayilona iqela elingenanto. Banokwazi ukulungisa abantu kunye nemibutho ngokuziphatha okungekho mthethweni kwaye banokuphelisa ilayisenisi.Umbutho uvame ukuba indawo abathengi banokuthatha izikhalazo zokuziphatha abazivelayo ngokungenakuziphatha okanye ezingekho mthethweni. I-FINRA iphinda ihlolisise imisebenzi yokuhweba yamalungu ebhunga ukuba ifumene iipatheni zokurhweba ezingekho mthethweni kunye neminye imisebenzi engekho mthethweni.
Ukutshintshana komntu ngamnye kunemisebenzi eyongqongqelekileyo yolawulo lwangaphakathi kwimisebenzi yawo. Ezi ziquka ukubeka esweni kunye namanye amanyathelo okubona ukuba umthengi ufumana intsebenziswano efanelekileyo.
Amazwe ngamnye
Iindibano ezizimeleyo nazo zikwahlula izibambiso, nangona zivame ukuba zingekho njengezengqungquthela njenge-FINRA. Ngokuqhelekileyo baphatha izikhalazo kunye nerejista zokubambisa eziza kuthengiswa phakathi kwemida karhulumente, nangona oku kuya kutshintsha ukusuka kummandla ukuya kummandla.Isinyathelo sokugqibela sokukhuselwa kwinqanaba lokuthengisa. Inkxaso nganye iyafuneka ukuba igcine iirekhodi ezithile kwaye yenza uhlolo oluthile kunye nokuphicothwa komsebenzi ukuqinisekisa ukuba abadayisi babo basebenza kwimigaqo-migaqo esemthethweni neyomthetho.