Kedis ku xidhan hagaha · Dhexdhexaad Heerka

Dib u eegis ku dhaqanka Suuqgeynta AI ee Kediska La-taliyayaasha

Wuxuu tijaabiyaa shuruudaha wax qabad ee Xeerka Suuqgeynta, siidaynta maragfurka, iyo sababta calamada AI ay ugu baahan yihiin ogolaanshaha kama dambaysta ah ee sarkaalka u hogaansan.

Wadooyinka haga ee la xidhiidhaDib u eegis ku dhaqanka Suuqgeynta AI ee La-taliyayaasha
Su'aal 1 ee 8

Waa maxay taariikhda uu u hoggaansamida Xeerka Suuqgeynta SEC uu ku noqday qasab lataliyeyaasha maalgashiga?

Horudhac su'aal kasta8 su'aalo

Jawaabaha iyo sharraxaadaha waxay soo baxayaan markaad qaadanayso kediska.

  1. Waa maxay taariikhda uu u hoggaansamida Xeerka Suuqgeynta SEC uu ku noqday qasab lataliyeyaasha maalgashiga?
    • December 22, 2020
    • Janaayo 1, 2022
    • November 4, 2022
    • June 30, 2023
  2. Sida uu dhigayo Xeerka Suuqgeynta, maxaa waajib ah in uu ka soo muuqdo shaxda waxqabadka guud ee xayaysiiska?
    • Net-of-fee performance
    • A benchmark index return
    • The adviser's assets under management
    • A client testimonial
  3. Bootfooliyada aan ka ahayn lacagaha gaarka ah, waa kuwee waqtiyada ay tahay in la xayeysiiyo daboolida waxqabadka?
    • Year-to-date and 3 years
    • 1, 5 and 10 years
    • Only since inception
    • The best and worst calendar years
  4. Maxaa la gudboon la-taliye ka hor inta uusan soo bandhigin waxqabad mala awaal ah?
    • A third-party audit of every hypothetical figure
    • Written consent from each client who sees it
    • A statement that hypothetical results are guaranteed
    • Policies reasonably designed to ensure it is relevant to the intended audience's situation and objectives
  5. Muxuu haguhu ugu talinayaa in la hagaajiyo qalabka dib u eegista AI ee dib u soo celinta halkii ay ka ahaan lahayd sax?
    • High-recall models are cheaper to run
    • Regulators require a set false-positive rate
    • A missed violation costs much more than a few extra minutes of human review
    • Precision cannot be measured for text
  6. According to the guide, if an AI tool clears a social post and the post later breaks the Marketing Rule, who is responsible?
    • The adviser and its compliance function
    • Iibiyaha AI
    • The social media platform
    • No one, if the tool was validated
  7. What were the March 2024 SEC settlements with Delphia and Global Predictions about?
    • Failing to disclose paid testimonials
    • Misleading statements about how the advisers used AI
    • Showing gross performance without net performance
    • Missing records of social media posts
  8. Which rule generally requires advisers to keep advertisements and supporting records, typically for five years?
    • FINRA Rule 2210
    • Rule 206(4)-7
    • Xeerka Xiisaha ugu Fiican
    • Rule 204-2