FINRA: Gifts: Institutional Sales Representative Responsibilities

Overview

This course presents regulatory requirements and industry compliance practices related to business gifts to help you understand your role as an institutional sales 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 Objectives

Students who successfully complete this course will be able to:

  • understand FINRA rule 3220
  • 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

Designed for

Institutional

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