FINRA: Gifts: Independent Registered Representative Responsibilities

Course Description

This course presents regulatory requirements and industry compliance practices related to business gifts to help you understand your role as an independent registered representative in complying with FINRA rules. Brief interactive activities and scenarios demonstrate how to determine whether gifts are business-related, and illustrate proper gift-aggregation and recordkeeping techniques.

Learning Objective(s)

By taking this course, you will be able to:

  • Understand FINRA Rule 3220 called Influencing or Rewarding Employees of Others.
  • Understand the limits and guidelines for gift giving.
  • Understand the importance of knowing and complying with your firm's policies and procedures for gift giving.
  • Understand the consequences for violating firm and regulatory requirements for gift giving.

Complexity

Intermediate

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