FINRA Webcast

Business Gifts

 

This webcast discusses a registered representative's responsibilities when giving business gifts. At just over eight minutes in length, the program presents rule requirements and best practices around this issue, and then reinforces them with a scenario.

 

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This webcast is also available as a SCORM compliant e-learning video course with optional assessment testing, completion tracking and certificates of completion.

Related Resources:

Notice to Members 06-69: Gifts and Gratuities

NASD Rule 3060 - Influencing or Rewarding Others

NYSE Rule 350 - Compensation or Gratuities to Employees of Others  

(PDF 6 KB) 

 

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