来自《耶鲁大学开放课程：金融市场 第18集 第18集》

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  and then you are eligible, according to FINRA.
  据FINRA规定 通过者才有资格
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  FINRA is an example of an SRO, a self-regulatory organization.
  FINRA是SRO自律组织的一个代表
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  The government in the United States doesn't want to be making all the rules,
  其规则并不尽由美国政府制定
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  so they allow industry groups to form their own self-policing organizations.
  政府允许商业集团成立自我监督组织
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  So, FINRA is the organization for financial advisors
  FINRA就是投资顾问们的组织
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  and that is an SRO and the SEC accepts their licensing.
  它是个自律组织 顾问们在证交会注册
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  That's what you have to do to become a financial advisor.
  这就是成为投资顾问的必经之路
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  You have to take these exams, join FINRA, then you go to the SEC,
  先通过考试 加入FINRA和证交会
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  and then you register as a financial advisor.
  然后注册成为投资顾问
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  The exams would warn you about all kinds of bad practices
  考试会对各类不规范行为予以警告
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  that--for example, about churning a portfolio.
  比如频繁变换投资组合
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  I just mentioned that, but I'll repeat it;
  刚才提过这种行为 再重复一次