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FINRA: Gifts: Understanding Compliance Responsibilities

Overview

This course presents regulatory requirements and industry compliance practices related to business gifts to help you understand your role as a member of the compliance staff in complying with FINRA rules. Scenarios demonstrate how to determine whether gifts are business-related, and illustrate proper gift-aggregation and recordkeeping techniques.

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 

Learning Objectives

  • 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


Designed For:

Registered representatives and registered principals




Course Information

Adding additional credit may change exam requirements.

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