FINRA: Gifts: Understanding Wholesaler Responsibilities

Overview

This course presents regulatory requirements and industry compliance practices related to business gifts to help you understand your role as a wholesaler 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

Wholesaler

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