FINRA: Gifts: Registered Representative Responsibilities

Overview

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 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
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