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.

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

Wholesaler