FINRA: Gifts: 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 a registered representative in complying with FINRA rules. 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