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.
Learning Objectives
Upon completion of this course, students 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
Designed For
All registered representatives and registered principals
Find this course for your license:
License or Certification
Regulator
Type